Series 6 - Investment Company And Variable Contracts Products Representative Exam

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The FINRA regulation pertaining to requiring firms to monitor the telemarketing activities of their registered representatives is:

Regulation T
A
FINRA Rule 3170
B
FINRA Rule 5310
C
FINRA Rule 2273
D

Explanations

If a member firm hires representatives who were previously associated with a disciplined firm, the hiring firm may be required to establish procedures for monitoring the telemarketing activities of all its registered representatives. This requirement is associated with FINRA Rule 3170.