FINRA Compliance Do Not Call & the Securities Industry

Do Not Call & the Securities Industry

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


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.


Course Objectives

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





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End of Course Instructions

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)


Quiz Information

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.


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