On June 11, 2025, FINRA proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) (the “Gifts Rule”) that would raise the annual gift limit per recipient to $250 from $100, as well as codifying...more
6/25/2025
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Compliance ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Gifts ,
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Policies and Procedures ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Reform ,
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Securities Regulation
On February 9, in a 3-1 vote, the SEC approved a rule proposal (the "Proposed Rule”) that represents a sea-change in the Commission’s approach to private funds, with the Proposed Rule including provisions that would impose on...more