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13 Gifts That Could You In Big Trouble With FINRA

Registered broker-dealers should be extra cautious when giving gifts.



The Financial Industry Regulatory Authority prohibits executives at registered broker-dealers from giving gifts to any principal, officer or employee of another member organization, financial institution, news or financial information media, or non-member broker or dealer in securities, commodities or money market instruments of over $100 in value.



Here are a dozen gifts (plus one) which could ruin your holiday spirit -- and pocketbook -- if FINRA decides you have crossed the line.


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