Series 7 practice questionmediumMarketing and Prospecting — Do-Not-Call List
If a prospect asks not to be called again, what must the broker-dealer do?
- ACease calls for 30 days, then resume if no further objection.
- BContinue calling if the product changes.
- CConfirm with the national do-not-call registry before stopping calls.
- DCease all future calls and add the person to the firm's do-not-call list indefinitely.✓ Correct answer
Explanation
Why D — Cease all future calls and add the person to the firm's do-not-call list indefinitely.
Regulations require that once a person requests not to be called, the firm must immediately add them to its do-not-call list and honor it indefinitely.
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