Series 53: 3.2.2.1. Making A Telemarketing Call

Taken from our Series 53 Online Guide

3.2.2.1. 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 broker-dealer is also

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