12.20.1
A Trading Member and its Trading Representatives may receive goods and services from a broker for directing business to the broker if:—
(1) the goods and services can reasonably be expected to assist in the provision of services to the customer;
(2) records of the goods and services received are maintained; and
(3) there are appropriate internal controls and procedures for such arrangements.
Refer to Practice Note 12.20.1.
12.20.2
A Trading Member may pay for goods and services to customers for directing business to the Trading Member if:—
(1) records of such payments are maintained;
(2) there are procedures to control such arrangements; and
(3) the arrangements do not violate any law, regulation or professional code of ethics on the part of the recipients.
Refer to Practice Note 12.20.1.