Series 27: Taping Rule

Taken from our Series 27 - Financial and Operations Principal Qualification Examination

Definition of the term Taping Rule...

a set of special supervisory procedures over the telemarketing activities of a member firm's registered personnel if the member firm is found to employ an excessive number of registered persons who have previously been associated with a disciplined firm during the past three years. The special supervisory procedures require the tape-recording of all telephone conversations between the member firm's registered persons and existing and potential customers.

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