FINRA Rule 3220: Avoiding "Gifts & Gratuities" Violations in 2026 (Compliance Lawyer Explains)

Описание: 📝 Video Description
The $100 limit is officially a thing of the past! In this video, we dive deep into the recent 2026 SEC-approved amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others). Whether you are a registered representative, a compliance officer, or a firm principal, understanding the shift from the decades-old $100 limit to the new $300 annual threshold is critical to staying on the right side of the law.

What we cover in this video:

The New Threshold: Why the limit was raised to $300 and what it means for your firm.

Aggregation Rules: How to track gifts given by multiple associated persons to the same recipient.

Exclusions & Carve-outs: What counts as a "personal gift" (weddings, births) vs. a business gratuity.

Valuation Standards: Understanding "higher of cost or market value" and how to handle event tickets.

Recordkeeping: Essential documentation required to avoid FINRA sanctions and audits.

Staying compliant doesn't just save you from fines—it protects your license and your reputation. If you found this legal breakdown helpful, make sure to Like, Subscribe, and hit the Bell icon for more updates on securities law.

⚖️ Disclaimer
The information provided in this video does not, and is not intended to, constitute legal advice; instead, all information, content, and materials available in this video are for general informational purposes only. Use of, and access to, this video or any of the links or resources contained within the description do not create an attorney-client relationship between the viewer and the presenter. You should contact your attorney to obtain advice with respect to any particular legal matter.