referral gift log & recordkeeping guidance

To remain in compliance with SEC regulations, any time you offer a gift or token of appreciation to someone for referring a potential client—even if it’s a small amount—we must maintain a Referral Gift Log in our records.

🔷 What we record

Each time you send a referral gift (cash or non-cash), log the following:

1. Date the gift was given
2. Full name of the referrer
3. Email
4. Gift description and value (e.g., "$200 Amazon gift card")
5. Client Name
6. Confirmation that the Solicitor Attestation was completed and reviewed

🔷 How to record it

We keep things simple around here and we’ve developed a Notion gift tracker that you may request be added to your Boards.

⚙️ [ request referral gift log ]