Series 7 practice questioneasyCold Calling Rules and Telemarketing — Permitted Personnel for Cold Calls
Who is permitted to make cold calls soliciting securities business for a broker-dealer?
- AAnyone over the age of 18
- BAny employee of the firm
- COnly registered representatives and properly supervised associated persons✓ Correct answer
- DOnly the firm's principal
Explanation
Why C — Only registered representatives and properly supervised associated persons
Cold calls soliciting securities business may only be made by registered representatives or associated persons under appropriate supervision.
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