A broker-dealer receives a request from a prospect to be added to the firm’s internal Do Not Call (DNC) list. Which of the following best describes the firm’s regulatory obligations after receiving this request?

1. AThe firm must report the request to FINRA within 30 days.
2. BThe firm may continue to call for up to 30 days while processing the request.
3. CThe firm can remove the prospect from the internal DNC list after 5 years if no further requests are made.
4. DThe firm must honor the request immediately and maintain the prospect’s number on the internal DNC list indefinitely.✓ Correct answer

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