Gifts and Entertainment; Influencing Employees of Others

Overview

The prohibitions in the FINRA and MSRB Rules against excessive gifts and entertainment (particularly the prohibitions in MSRB Rule G-20 and FINRA Rule 3220) are essentially anti-bribery rules, one of a number of such SRO Rules. See also the pages on Political Contributions (Pay to Play) and Employee Accounts From/At Other Firms. The issue of non-cash compensation, which is also a subject of MSRB Rule G-20, is the subject of a separate page on Sales Contests and Non-Cash Compensation.

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FINRA and MSRB Rules