prospecting for new customers

fax requirements

the date and time the fax is sent the identity of the sender the telephone number of the sender does not require the number of pages of the fax be included

Telephone Consumer Protection Act of 1991

8 am to 9 pm local time of the party called caller must provide the called party with the identity of the caller and a telephone number in which the member of firm may be reached at in house do not call list compared with national do not call list customer account number must be encrypted auto dialing is prohibited to residences, health care facilities, and radio common carriers

Prior Business Relationship

a person being contacted has an account with the person making the call and that there has been some form of activity in the account such as trade, interest, or dividends within the past 18 months

prior relationship with the person being called

no call list does not apply

Prior business relationship does not apply to

non-profit organizations

junk fax is

prohibited

unregistered cold callers

send investments literature to prospects set-up appointments for prospects with the registered representative may extend invitations to firm sponsored events