Series 7: Exercise

Taken from our Series 7 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. _____ Called a potential customer in New York from California at 7:00 p.m. PT.

2. _____ Called a customer with an established business relationship that is on the Federal Trade Commissi

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