Gift & Gratuity Log

Use this form to enter each gift or gratuity you provide to a client. Enter only one item per form. Click "Submit" below when finished.

FINRA Rule 3220

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 one hundred dollars per individual per year to any person, principal, proprietor, employee, agent or representative of another person.

Which quarter is represented by this submission?

1st
2nd
3rd
4th
 

All representatives are required to file a gift and gratuity log at least quarterly, even if the register contains no entries. Is this a required quarterly filing that contains no entries?

Yes
No
 

If this is a required quarterly filing with no entries, select "Trustmont Financial" in the next question, enter your representative number, name and e-mail address where requested, and enter the word "none" in every subsequent question.

Which Trustmont Unit?

Trustmont Financial (Brokerage)
Trustmont Advisory
 

Enter Your Trustmont Representative Number:

Representative's Last Name:

Representative's First Name:

Email Address:

Date

Recipient Last Name:

Recipient First Name:

Face value:

Description of gift or gratuity.

Reason for gift or gratuity.

Is the gift or gratuity in relation to the business of the employer of the recipient of the gift or gratuity?

Yes
No
 

Is this gift or gratuity in response to a client referral or could it be construed as improperly influencing business decisions? (Explain)