FINRA Rule 3170 requires firms to establish, enforce, and maintain written procedures supervising telemarketing activities of all its registered persons, including recordings of the conversations.
Link to Rule: http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=11348
Helpful Link: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=11470
Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.
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