Federal Register #SR-IEX-2026-43

SEC Notice of IEX’s Proposed Gifts and Gratuities Rule Amendment

The Securities and Exchange Commission (SEC) notice concerns a proposed rule change by Investors Exchange LLC (IEX), not a government procurement opportunity. - Government agency: SEC; the notice addresses IEX’s proposed amendment to its gifts and gratuities rule. - Organizations named: Investors Exchange LLC (IEX) and Financial Industry Regulatory Authority, Inc. (FINRA). - Proposal: Align IEX Rule 3.291 with FINRA Rule 3220 to support IEX’s regulatory responsibility agreement with FINRA. - Raise the annual gift limit from $100 to $300. - Add guidance on exemptions, gift valuation and aggregation, personal and bereavement gifts, promotional items, disaster-related donations, supervision, and recordkeeping. - Procurement: No products or services, quantities, part numbers, OEMs, vendors, or procurement requirements are identified.

Description

The Securities and Exchange Commission notice concerns Investors Exchange LLC’s proposed amendment to IEX Rule 3.291 on gifts and gratuities to conform the rule to FINRA Rule 3220. The proposed changes include increasing the annual gift limit from $100 to $300 and adding provisions addressing exemptions, gift valuation and aggregation, personal and bereavement gifts, promotional items, disaster donations, supervision, and recordkeeping. The amendment is intended to harmonize the rules and allow IEX Rule 3.291 to be covered by the regulatory responsibility agreement between IEX and FINRA. The Commission invites comments on the proposed rule change through December 1, 2026.

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