Telemarketing and Do-Not-Call Rules

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Chapters in this video

  1. 0:00 Why telemarketing rules exist: Riley and Ivy
  2. 1:02 The two do-not-call lists firms must check
  3. 2:52 Calling hours and the customer time zone trap
  4. 4:41 Four exceptions to the national registry
  5. 6:06 Caller ID blocking and disclosure checklist
  6. 7:15 Rapid-fire exam recap

What this video covers

  • The two do-not-call lists a firm must honor: the Federal Trade Commission (FTC) National Do-Not-Call Registry and the firm-specific internal list
  • How long a firm-specific do-not-call request lasts: indefinitely, unless the customer revokes it
  • The 30-calendar-day compliance window under FINRA rules for honoring a do-not-call request
  • Why permitted calling hours of 8 AM to 9 PM apply in the customer's time zone, not the caller's time zone
  • The four exceptions to do-not-call rules: established business relationship (18 months), recent inquiry (3 months), prior express written consent, and tax-exempt nonprofit status
  • The mandatory caller identification and disclosure requirements, including the prohibition on blocking caller ID
  • Why a 900 number or any number charging beyond normal transmission fees is prohibited as a callback number

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