Submit Non-Cash Compensation

IAR's Name *

First

Last

Date of Compensation *

Did you give or receive the gift or business entertainment? *

To me from (I received the Gift or Entertainment)
From me to (I gave the gift or Entertainment)

Name *

Name of the person providing or receiving the Non-Cash Compensation to/from you. (Client, Prospect, or wholesaler, etc.)

Organization

Only provide an organization if the gift or business entertainment is being provided or was received by a Product Sponsor.

Type of compensation given/received: *

If you selected "other" as the type of compensation, please describe the Non-Cash Compensation.

Cash may never be given or accepted and gift cards must be redeemable for goods or services. Gift cards such as Visa, American Express, MasterCard are considered a 'cash equivalent' and are generally not permitted except for Life Events as described later in this section.

Was the Non-Cash Compensation: *

A gift? (not to exceed $100 per calendar year to or from any individual)
A gift pursuant to LPL's "Life Event" Policy? (not exceed $500 per event or $1,000 per year per giver or recipient)
Business Entertainment? (not to exceed $500 per giver or recipient, plus guest, at a single event and no more than $1,500 annually per giver or recipient. The Advisor must be present at the event otherwise, the value of the entertainment is considered a gift and is subject to the $100 calendar year gift limit)
Sponsor and/or Vendor Support? (Up to $7,500 per Master Rep ID per year and per event subject to additional policy requirements.)

If you selected "Life Event" Gift, please describe the life event.

Events should be generally infrequent and based on a personal relationship and be personal in nature. Examples of events that may qualify for the exemption include weddings, births, bereavements or milestone celebrations such as a baptism or bar/bat mitzvah or Quinceañera, etc. Holiday celebrations and routine birthdays are not considered Life Events.

Location *

City / State

Establishment/Retailer *

This might be the name of the establishment where the business entertainment was provided or this could be the retailer where the gift was purchased through.

Dollar amount of the gift or business entertainment. *

All gifts must be valued at the greater of the cost in terms of what the giver paid, or its fair market or face value.

Was the amount entered above, the *

Exact Amount?
Approximate Amount?