Gifts and entertainment disclosures

Last updated: July 1, 2026

Most firms require employees to disclose — and sometimes pre-approve — gifts given or received above a dollar threshold.

Submitting a gift or entertainment disclosure

  1. Go to Disclosures → New Disclosure → Gifts & entertainment.

  2. Select whether you gave or received the gift.

  3. Enter the recipient or giver, the nature of the item, the estimated value, and the date.

  4. Submit for compliance review.

What the threshold is

Your firm sets its own threshold in the WSP. A common limit for FINRA-registered firms is $100 per person per year under FINRA Rule 3220. Check with your compliance admin if you're unsure of your firm's specific limit.