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Question #13
#13
Multiple Choice
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Telemarketing rules require which of the following provisions to be in place to be compliant?
A.
The broker-dealer (BD) adds to a registry, within 45 days, the names of those who have expressed a wish not to be called.
B.
The BD's registered representatives (RRs) reference the National Do Not Call Registry from a list updated no more than 30 days ago.
C.
An RR adds a name to the BD's do-not-call registry, which restricts calls for up to five years.
D.
Each RR engaged in telemarketing relies exclusively on a personal list of persons who have expressed a wish not to be called.
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Question 13 of 164
Exam SIE Topic 1 Question 13
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