Question

A registered representative would be permitted to make a telephone solicitation at 9:30 PM to an individual in the same time zone who: A). Has made an inquiry to the firm about available services in the last 18 months B). Currently has securities held in custody of the firm, but has not traded in the past 18 months C). Has effected trades with the firm 24 months ago, but has had no trading activity since D). Has chosen to opt out of the "Do Not Call" regulations

Answer 1

A registered representative would be permitted to make a telephone solicitation at 9:30 PM to an individual in the same time zone who has chosen to opt out of the "Do Not Call" regulations.