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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 40 Topic 5 Discussion

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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 40 Topic 5 Discussion

SIE Exam Topic 5 Question 40 Discussion:
Question #: 40
Topic #: 5

At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. Which of the following actions should the RR take in this situation to comply with telemarketing rules?
A.

Obtain the broker-dealer's approval before making a call

B.

Limit contact with prospects to between 9 a.m. and 9 p.m.

C.

Contact the prospects at will since they provided express written consent

D.

Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry

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Actual exam question for FINRA SIE exam by Flint6683 at Aug 3, 2025, 11:36:55 AM

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