Question

The portfolio manager of a pension plan is well known as a fan of the local NFL football team. The branch manager of a FINRA member firm who has been trying to secure a portion of the plan's investment account owns a luxury box at the stadium. FINRA's Conduct Rules would permit

A) transferring the ownership of the rights to the luxury box to the portfolio manager if at least 30% of the portfolio is transferred to the branch manager's firm
B) the branch manager to offer tickets to the portfolio manager only if the value did not exceed $100
C) the branch manager to invite the portfolio manager to accompany him to a game of his choice
D) the branch manager to offer the portfolio manager 2 of the seats in the box for the entire season

Answer 1

C. The branch manager to invite the portfolio manager to accompany him to a game of his choice.