3.130- What is the requirement for Written policies for maintaining Do-Not-Call lists?

Companies or callers must put you on their "Do Not Call" list, if asked by the consumer. Every firm must keep a “Do Not Call” list. If a client wants to stop sales calls from that firm, the caller's name and telephone number must to placed on the firm's “Do Not Call” list. If anyone from that firm calls again, the consumer can obtain the caller's name and telephone number, note the date and time of the call, and file a complain to the firm's compliance officer, the SEC, and the state's securities regulator.

Related Topics: What is a Do Not Call List (DNC)

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