This may feel like the time to be generous, but registered broker-dealers should be extra cautious when giving gifts.
FINRA, the self-regulatory agency for U.S. registered broker-dealers, prohibits executives at registered broker-dealers from giving gifts to any principal, officer or employee of another member organization, financial institution, news or financial information media, or non-member broker or dealer in securities, commodities or money market instruments of more than $100 in value.
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