At a prospecting event, a registered representative (RR) provides cards for attendees to write down...

Vendor: FINRA
Product: SIE
Update on: Jan 2, 2026
Questions: 188

FINRA SIE Question Answer

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?

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

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

Contact the prospects at will since they provided express written consent

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