Gifts & Gratuities
FINRA caps gifts from a member or rep to employees of other firms at $300 per person per year (raised from $100 effective March 30, 2026) where the gift relates to the recipient's employer's business; business entertainment the giver attends is separate and must be reasonable, not conditioned on business.
Personal gifts based on a genuine personal relationship (a wedding gift to a relative who happens to work at another firm) and de minimis promotional items fall outside the cap. Cash gifts are effectively never permissible.