Khung pháp lýCâu 387 / 398
A registered representative gives a client four tickets to a concert worth $80 total as a thank-you related to their business relationship. Under the FINRA gift rule, this gift is:
a.A violation because all gifts to clients are prohibited
b.Permissible because it is under the $100 annual limit and should be recorded
c.Permissible only if approved by the SEC in advance
d.A violation because entertainment can never be given to clients
Giải thích
The $80 gift is within FINRA's $100 annual per-person gift limit under Rule 3220, so it is generally permissible, though the firm should record it. If the representative had given multiple gifts to the same person exceeding $100 in a year, that would violate the rule. Business entertainment where the rep attends may be evaluated under separate standards.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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