Series 14: 5.2.3.3. Restrictions On Customer Gifts And Gratuities

Taken from our Series 14 Online Guide

5.2.3.3. Restrictions on Customer Gifts and Gratuities

No member firm or associated person may give any gift or gratuity to or receive any gift or gratuity from a different member firm or associated person if that gift or gratuity has a value in excess of $100 per person per year and is related to any business provided.

This restriction may be waived for associated persons, but not without a prior written agreement between the associated person and his employing member firm. This written agre

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