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Broker-Dealer Associated Persons: FINRA Rule 3220 (recently amended) sets a $300/year/personlimit for gifts. A $100 gift card would be permissible as long as total gifts to this person don't exceed $300 in the calendar year. [1] FINRA Rule 3220
SEC-Registered RIAs: There is no specific dollar limit, but the Advisers Act requires policies to avoid conflicts of interest under Section 206. [2] Advisers Act Section 206
This is guidance, not legal advice. Consult your CCO for binding decisions.
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