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
/ Broker-Dealer ,
Compliance ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Gifts ,
New Rules ,
Policies and Procedures ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Reform ,
Regulatory Requirements ,
Securities Regulation
On March 12, 2025, the SEC Division of Corporation Finance published a no-action letter that facilitates compliance with Regulation D Rule 506(c), which permits general solicitation, for offerings with certain minimum...more