The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 24, 2024
Compliance with securities regulations is only the beginning By Mark J. Astarita, Esq. Introduction Cold calling is a method of marketing a service or product by calling prospective clients “cold” – that is, without an introduction, to determine if the potential client has a need for, or interest in, the […]
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 […]
Ed. This page discusses the original NASD proposal in 1997 for registration of cold callers. and is presented for historical purposes. 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. […]
