Dottie is a newly-minted, registered representative and is doing some cold calling to line up appointments with prospects. When doing so, Dottie:
I. must not call anyone on her firm's do-not-call list.
II. must not call anyone on the FTC's national do-not-call-list.
III. must not call anyone before 7 a.m. or after 7 p.m., based on the time zone of the person being called.
IV. must provide the person called with her name, the name and contact information of her firm, and the purpose of her call.

Question

Quizplus · Accepted Answer

Only Selections I, II, and IV are correct. When Dottie does her cold calling, she must not call anyone listed on either her firm's do-not-call list or the FTC's national do-not-call list, and she must provide the person called with her name, the name and contact information of her firm, and the purpose of her call. Under FINRA's telemarketing rules, she must not call anyone before 8 a.m. or after 9 p.m., based on the time zone of the person being called.

Dottie Is a Newly-Minted, Registered Representative and Is Doing Some