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Cold Callers Must Follow These Rules 

When people from the securities industry call to sell you something, they must: 

Call Only Between 8:00 a.m. and 9:00 p.m.

Say Who's Calling and Why

Cold callers must promptly tell you

    • their name, 
    • their firm's name, address, and telephone number, and 
    • that the purpose of the call is to sell you an investment. 

Put You on Their "Do Not Call" List, If You Ask

Every securities firm must keep a "do not call" list. If you want to stop sales calls from that firm, tell the caller to put your name and telephone number on the firm's "do not call" list.

Treat You With Respect

Cold callers can't threaten, intimidate, or use obscene or profane language. They can't call you repeatedly to annoy, abuse, or harass you.

Get Your Written Approval Before Taking Money Directly From Your Bank Accounts

Tell You the Truth

People selling securities must tell you the truth. Brokers who lie to you about any important aspect of an investment opportunity violate federal and state securities laws.

 

 

Investigate Before You Invest |Top Ten Questions To Help You Avoid Trouble | Avoiding Online Investment Scams:  Tips for Investors | Fraud In Cyberspace | Tips for Checking Out Online Newsletters: | Internet Fraud: Investor Tips | Choosing an Investment Professional | Cold Callers Must Follow Certain Rules | Portrait of a "Boiler Room" | Where the Frauds Are | Where the Frauds Are Part 2 | Fake Seals and Phony Numbers | Investor Alert | Tips for Avoiding Stock Scamson the Internet | Risky Business: "Pre-IPO" Investing | Avoiding Internet Investment Scams | Microcap Stock: A Guide for Investors | Trade Execution | Your Dollars at Risk | Tips for Online Investing | Questions asked about your Investments | Day Trading Ads: Cutting Through the "Bull" | Futures and Options: What You Should Know Before You Trade | Investment Risks | Invest Wisely: An Introduction to Mutual Funds | Variable Annuities: What You Should Know  FAQ On Bond Investing