Section 11.4
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Questions and Answers

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?

  • 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

  • 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?

    <p>Statements must be sent monthly.</p> Signup and view all the answers

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