Series 7 practice questioneasyCold Calling Rules and Telemarketing — National Do Not Call Registry
What must a broker-dealer do before making a telemarketing call to a new potential client?
- AWait for the client to call the firm first
- BObtain prior written permission from the potential client
- CSend a prospectus before calling
- DVerify that the potential client's number is not on the National Do Not Call Registry✓ Correct answer
Explanation
Why D — Verify that the potential client's number is not on the National Do Not Call Registry
Firms must check the National Do Not Call Registry and their own internal do-not-call list before making a cold call.
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