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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Gifts and Grats
December 6, 2011
Regulators are getting the word out on what's allowed and not allowed during this gift-giving season. For example, CBOE reminds Trading Permit Holders that CBOE Rule 4.4 governs the giving of gifts and gratuities to CBOE employees and employees of financial concerns. That would include gifts, gratuities, loans, discounts, free service not generally available to the public, or other things.
Dollar Limit. CBOE employees may not accept any gift valued in excess of $50 (in the aggregate) during any calendar year from (there's a $100 limit on gifts to associated persons of financial concerns):
- any TPH
- or person associated with a TPH
- or any person or entity with whom the employee is directly and/or substantially involved in conducting business on behalf of CBOE.
- Gifts do not include business-related meals and entertainment permitted under the Conflict of Interest policy.
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