Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

Exercise

Answer true or false.

For a firm with proper telemarketing procedures in place, the following associated person has violated federal law and/or FINRA’s telemarketing policy:

1. _____ Called a potential customer in New York from California at 7:00 p.m. PT.
2. _____ Called a customer with an established business relationship that is on the Federal Trade

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Feels so good to have passed! (Series 7) It was about as challenging as I thought it would be and I'm glad the study material prepared me for understanding the concepts, and not just memorizing terms and formulas. Only changed two of the 15 answers for questions I flagged for review and finished it with more than 90 minutes to spare. The relief I felt upon seeing "Pass" was awesome!
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Brandon Collins, Benchmark. Memphis, TN

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