Series 26: Exercise

Taken from our Series 26 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. True or false. Called a potential client in New York from California at 7:00 p.m. PT.

2. True or false. Called a client with an established business relationship that is on the Federal Trade Commission’s national do-not-call list.

3. True or false. Called a potential client that is on the federal do-not-call list by error.

4. True or false. Cal

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