Regulatory Alerts2026-02-27 | Regulatory Notice 26-05Added · Updated
FINRA Adopts Amendments to Rule 3220 (Influencing or Rewarding Employees of Others)
FINRA amends Rule 3220 to increase the annual limit on gratuities given to employees of other persons from $100 to $300 per individual. The organization also updates non-cash compensation restrictions in Rules 2310, 2320, 2341, and 5110 to align with this new $300 threshold and require consistency with Regulation Best Interest. These changes apply to FINRA members and their associated persons regarding gifts and payments related to the business of the recipient's employer.
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