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FINRA Series 63 (NASAA)

Category - Series 63

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In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client requests to be put on your firm’s Do-Not-Call (DNC) list, the client must be kept on that list for

1 year.
2 years.
5 years.
10 years.

Explanation

Answer: D - If a prospective client requests being put on your firm’s DNC list, you must keep that name on your list for 10 years, according to the TCPA.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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