Series 53: Making A Telemarketing Call

Taken from our Series 53 Online Guide

Making a Telemarketing Call

Broker-dealers must ensure that whenever a telemarketing call is made, the caller provides the person called with the following information:

  • Name of the caller
  • Name of the broker-dealer firm
  • An address or contact number for the dealer firm (other than a 900 number)
  • A statement that the purpose of the call is to solicit the purchase of municipal securities or a related service

The

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