Series 7 practice questioneasyProspecting and Cold Calling 1
Before making an unsolicited call to a prospect, a representative must review the national Do Not Call list and the firm’s:
- Abranch complaint log
- Bmarket maker quote sheet
- Corder ticket blotter
- Dinternal Do Not Call list✓ Correct answer
Explanation
Why D — internal Do Not Call list
FINRA and federal rules require firms to maintain their own internal Do Not Call list in addition to honoring the national registry. A representative must avoid calling numbers appearing on either list unless an exception applies.
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