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FINRA Manual
Corporate Organization
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Rule 440A Telephone Solicitation
/01 Compliance with FCC and SEC Rules
Member organizations that engage in telephone solicitation to market their products and services ("telemarketing" or "cold-calling") are subject to the requirements of the rules of the Federal Communications Commission ("FCC") and Securities and Exchange Commission ("SEC") relating to telemarketing practices and the rights of telephone consumers. This includes, but is not limited to, the requirement to make and maintain a list of persons who do not want to receive telephone solicitations (a "do-not-call" list).
Member organizations that engage in telephone solicitation to market their products and services ("telemarketing" or "cold-calling") are subject to the requirements of the rules of the Federal Communications Commission ("FCC") and Securities and Exchange Commission ("SEC") relating to telemarketing practices and the rights of telephone consumers. This includes, but is not limited to, the requirement to make and maintain a list of persons who do not want to receive telephone solicitations (a "do-not-call" list).
