TITLE

Getting FINRA's Take on Gifts

AUTHOR(S)
Hall, Alison
PUB. DATE
September 2008
SOURCE
Financial & Insurance Meetings;Sep/Oct2008, Vol. 44 Issue 5, p24
SOURCE TYPE
Trade Publication
DOC. TYPE
Interview
ABSTRACT
An interview with Maribel Gerstner, chief operating officer for Allstate Financial Services is presented. When asked about interpretations of the gifts rule, she clarified that gifts to celebrate a life event do not count toward the $100 limit if the firm's registered rep is paying, but they do count if the firm is paying. Theater and sports tickets, she said, are included in this rule. Speaking of "occasional" and "extensive", she believes it becomes a reasonableness standard where interpretation of the rules come in.
ACCESSION #
34668863

 

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