Gifts/Business Entertainment/Non-Cash Compensation FAQs
Gifts/Business Entertainment/Non-Cash Compensation FAQs BrunsD Wed, 07/29/2020 – 08:43 Guidance on Donations Due to Federally Declared Major Disasters Q: Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) for a member or an associated person to donate goods or money (either directly or through a fundraising platform) to employees of […]
Supplemental Statement of Income (SSOI) Frequently Asked Questions
Supplemental Statement of Income (SSOI) Frequently Asked Questions BrunsD Wed, 07/15/2020 – 11:55 Please refer to the SSOI instructions. On This Page General Questions Commissions (Section 1 of Revenue) Revenue From Sale of Investment Company Shares (Section 2) Revenue From Sale of Insurance Based Products (Section 3) Gains or Losses on Derivative Trading Desks (Section 4) […]