TITLE

FINRA AND INCENTIVE TRAVEL

AUTHOR(S)
Hall, Alison
PUB. DATE
May 2008
SOURCE
Financial & Insurance Meetings;May/Jun2008, Vol. 44 Issue 3, p16
SOURCE TYPE
Trade Publication
DOC. TYPE
Interview
ABSTRACT
An interview with Maribel Gerstner of Allstate Distributors is presented. When asked to whom the Financial Industry Regulatory Authority (FINRA) rules apply she refers to banks and broker/dealers that sell securities products and are registered with FINRA. She says that the key to meeting the FINRA rule for "award trips" is that similar types of products must have similar weights. According to Gerstner, as companies work through their own FINRA compliance, some incentive trips could be recast as education conferences.
ACCESSION #
32144284

 

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