FINRA Manual: Contents
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Rule 440A Telephone Solicitation
This rule is no longer applicable. NYSE Rule Interpretation 440A has been superseded by FINRA Rule 3230. Please consult the appropriate FINRA Rule.
/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).