Tag: Cold Calling

Brokers Compliance

Calling England

Foreign Countries Have Their Own Securities Regs, and You Have to Comply With Them Too. By Mark J. Astarita, Esq. Financial professionals who are looking to solicit foreign investors have more to consider than the United States securities laws.  Just like the United States has an interest in protecting its citizens […]

Compliance

Registration of Cold Callers

Ed. This page discusses the original NASD proposal in 1997 for registration of cold callers. and is presented for historical purposes. seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA’s telemarketing rule is Rule 3230. Today, basically all cold callers are required to be registerd with FINRA. FINRA’s Registration and Qualification Rules are in the Rule 1200 series. […]