Must telephone operators at a member firm who accept unsolicited customer orders for transfers within a family of funds be registered with FINRA?
Related Questions
- My firm wants to use the established existing customer relationship to cold call our customers. If the customer has registered with the Telephone Preference Service (TPS) are we able to call them?
- Must telephone operators at a member firm who accept unsolicited customer orders for transfers within a family of funds be registered with FINRA?
- Must telephone operators at a member firm who accept unsolicited orders from customers register as assistant representatives-order processing?
