SR-FINRA-2017-009
Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $250 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters.