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Questions and Answers
Which of the following is not one of the three general classes of communication with the public?
Which of the following is not one of the three general classes of communication with the public?
- Institutional
- Retail
- Correspondence
- Educational (correct)
Which of the following is not a rule under the TCPA of 1991?
Which of the following is not a rule under the TCPA of 1991?
- Calls must be made between 8:00 am and 9:00 pm in the prospect's time.
- Solicitors must identify themselves and their company.
- Calls must be made between 9:00 am and 8:00 pm in the prospect's time. (correct)
- All telemarketing firms must maintain a do-not-call list.
Seacoast Securities is a new FINRA member firm. It is preparing a new marketing campaign, including a mass mail advertisement. The advertisement must be
Seacoast Securities is a new FINRA member firm. It is preparing a new marketing campaign, including a mass mail advertisement. The advertisement must be
- filed with FINRA within 10 days of first use
- filed with the SEC within 10 days of first use
- filed with FINRA at least 10 days before use (correct)
- approved by FINRA before use
Which of the following statements concerning the delivery of statements is not correct?
Which of the following statements concerning the delivery of statements is not correct?
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