Are you compliant with FINRA’s Rule 3230?
FINRA Rule 3230 (Telemarketing) applies to all members and their associated persons. What is Rule 3230? Rule 3230 imposes restrictions on telephone calls by members and their associated persons to induce the purchase of goods or services or to solicit charitable contributions, subject to some exceptions set forth in the Rule. To see how this Rule pertains to your firm, FINRA has provided some clarification with their recently posted Frequently Asked Questions Regarding FINRA Rule 3230.