Regulatory Notice 16-29

FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules

Comment Period Expires: September 23, 2016

Executive Summary

FINRA is seeking comment on proposed amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others), as well as on proposed FINRA Rule 3221 (Restrictions on Non-Cash Compensation), and proposed FINRA Rule 3222 (Business Entertainment).

The proposed rule text is available in Attachment A.

Questions concerning this Notice should be directed to:

  • Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
  • Joseph Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
8/17/2016The Securities Center, Inc.PDF - 26.63 KB
9/1/2016EFS AdvisorsPDF - 131.41 KB
9/19/2016First Asset Financial Inc.PDF - 328.18 KB
9/20/2016Woodforest Financial Services, Inc.PDF - 1.58 MB
9/22/2016Commonwealth Financial NetworkPDF - 69.94 KB
9/22/2016Investment Company InstitutePDF - 92.09 KB
9/22/2016Financial Services Institute, Inc.PDF - 133.66 KB
9/23/2016Wells Fargo Advisors, LLCPDF - 87.11 KB
9/23/2016Bond Dealers of AmericaPDF - 242.63 KB
9/23/2016NAIFAPDF - 105.28 KB
9/23/2016Pace UniversityPDF - 127.27 KB
9/23/2016T. Rowe PricePDF - 231.99 KB
9/23/2016Sutherland Asbill & Brennan LLPPDF - 1.3 MB
9/23/2016SIFMAPDF - 214.29 KB
9/30/2016NASAAPDF - 181.84 KB
10/7/2016ABAPDF - 120.66 KB
1/23/2017Anonymous PDF - 201 KB