SIE Exam Question 3: Answer and Explanation

Question: 3

What are the three General Telemarketing Requirements as stated in FINRA Rule 3230?

• A. Time of Day Restriction, State Do-Not-Call List, and National Do-Not-Call List
• B. State Do-Not-Call List, National Do-Not-Call List, and Firm-Specific Do-Not-Call List
• C. Time of Day Restriction, Firm-Specific Do-Not-Call List, and State Do-Not Call List
• D. Time of Day Restriction, National Do-Not-Call List, and Firm-Specific Do Not Call List

Correct Answer: D

Explanation:

The three General Telemarketing Requirements are the Time of Day Restriction, the Firm-Specific Do-Not-Call List and the National Do-Not-Call List.