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FINRA.SIE.v2026-03-24.q117
Question 79

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Question 79/117

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

Correct Answer: D

Step by Step Explanation:
* Telemarketing Rules (FINRA Rule 3230): Require firms to check the National Do Not Call Registry before contacting individuals, even if those individuals provide their contact information voluntarily.
* Incorrect Options:
* A: Approval isn't required for individual follow-ups; compliance with the registry is.
* B: While calls must be limited to appropriate hours, the registry check is still mandatory.
* C: Written consent does not override the registry requirement.
FINRA Rule 3230 (Telemarketing): FINRA Rule 3230.

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