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Ships within 48 hours · Estimated delivery Aug 29 - Sep 3
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Description
BD- Broker-Dealer Gifts and Gratuities Disclosure StatementThe Gifts & Gratuities Disclosure Statement is a useful disclosure form as part of a broker dealers overall compliance program regarding influencing or rewarding employees of others and potential conflicts of interests. The Disclosure is used to determine compliance with FINRA Rule 3220(a) (b), in that no member or person associated with a member shall, directly or indirectly, give or permit to be given anything of value, including gratuities, in
The Gifts & Gratuities Disclosure Statement is a useful disclosure form as part of a broker-dealer’s overall compliance program regarding influencing or rewarding employees of others and potential conflicts of interests. The Disclosure is used to determine compliance with FINRA Rule 3220(a)-(b), in that no member or person associated with a member shall, directly or indirectly, give or permit to be given anything of value, including gratuities, in excess of $100 per individual per year to any person, principal, proprietor, employee, agent or representative of another person where such payment or gratuity is in relation to the business of the employer of the recipient of the payment or gratuity.
Version/Update: V.3/May 21, 2018
Total Page Count: 1
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy