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.