Câu 13: SIE: Securities Industry Essentials

Telemarketing rules require which of the following provisions to be in place to be compliant?

1. A. The broker-dealer (BD) adds to a registry, within 45 days, the names of those who have expressed a wish not to be called.
2. B. The BD's registered representatives (RRs) reference the National Do Not Call Registry from a list updated no more than 30 days ago. — đáp án hiện tại
3. C. An RR adds a name to the BD's do-not-call registry, which restricts calls for up to five years.
4. D. Each RR engaged in telemarketing relies exclusively on a personal list of persons who have expressed a wish not to be called.