Prohibited Activities, Registration, and Reportable Events

Free FINRA SIE (Securities Industry Essentials) lesson in Conduct and Regulatory Framework. 18 min read, ~2,689 words.

Gifts cap: \$100 per person per calendar year (FINRA Rule 3220); reasonable business entertainment is uncapped if the rep attends. OBA needs prior written notice (Rule 3270); PST for compensation needs prior written notice AND approval (Rule 3280). Political pay-to-play de minimis is \$250 per election if you can vote...