Do Not Call & the Securities Industry
Public outcry has resulted in the states seeking protection for consumers through legislation. Recently, this effort has been taken to a national level, with the establishment of the National Do Not Call Registry.
At the conclusion of your study of the material in this course, you should be able to:
- Identify the main points of the Do Not Call legislation
- Understand the DNC's ramifications on the securities industry
- Recognize penalties for violating the DNC
- Apply risk management techniques to avoid potential violations and fines
Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)
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You will not be required to pass the quizzes to move on to the next lesson.
You will be required to pass the final exam with a 70% in order to receive course credit.