Do Not Call & the Securities Industry

About Course

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

Prerequisites

n/a

Subject Matter Expert

This course is created and brought to you by 360training.com, Inc, a leading provider of accredited e-learning courses to working professionals through today’s leading schools, associations and corporations. 360training.com high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today’s marketplace, renew licenses, acquire certification or prepare for a new profession.

End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.

Exams

You will be required to pass the final exam with a 70% in order to receive course credit.