---
title: "Screen an outbound securities call against the telemarketing rule"
url: "https://ailawframework.com/practice/financial-services-regulation/review-an-outbound-contact-for-the-prohibition-on-hawking-financial-prod/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-MA20261022-5-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Screen an outbound securities call against the telemarketing rule

> From the call record, list each outbound telephone call, the local time at the called party's location, whether the file describes an established business relationship, a prior express invitation or permission, or a…

Canonical page: https://ailawframework.com/practice/financial-services-regulation/review-an-outbound-contact-for-the-prohibition-on-hawking-financial-prod/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Financial Services Regulation (AFSL/ASIC/credit)](https://ailawframework.com/practice/financial-services-regulation.md) |
| Human involvement | Yellow: Lawyer and AI draft together |
| How AI is used | From the call record, list each outbound telephone call, the local time at the called party's location, whether the file describes an established business relationship, a prior express invitation or permission, or a statement that the person does not wish to receive calls, and whether the number is described as listed on the national do-not-call registry. Record the caller identification the script uses. Do not decide that a call was permitted. |
| What the lawyer must review | The lawyer applies FINRA Rule 3230 to a member or a person associated with a member. Paragraph (a) says no such person shall initiate an outbound telephone call to any residence before 8 a.m. or after 9 p.m., local time at the called party's location, unless the member has an established business relationship under paragraph (m)(12)(A), the member has that person's prior express invitation or permission, or the person called is a broker or dealer. Paragraph (a) also covers a person who has stated that he or she does not wish to receive an outbound call made by or on behalf of the member, and a person whose number is on the Federal Trade Commission's national do-not-call registry. Paragraph (d)(3) says a do-not-call request must be honored within a reasonable time, which may not exceed 30 days from the request. Paragraph (d)(4) requires the caller to give the individual caller's name, the member's name, an address or telephone number at which the member may be contacted, and that the purpose of the call is to solicit the purchase of securities or a related service. Paragraph (b) states exceptions to liability for the national list. The lawyer reads those exceptions. The FTC telemarketing guidance states that, unless a telemarketer has prior consent to do otherwise, it is a violation of the Telemarketing Sales Rule to call a person's home outside 8 a.m. to 9 p.m. local time at the location called. That guidance is the FTC rule. It is not FINRA Rule 3230. The lawyer does not treat one as the other. |
| Written for | United States |
| Applies to | [Review an outbound contact for the prohibition on hawking financial products](https://ailawframework.com/practice/financial-services-regulation/review-an-outbound-contact-for-the-prohibition-on-hawking-financial-prod.md) |

## Checking plan

- What the AI does: From the call record, list each outbound telephone call, the local time at the called party's location, whether the file describes an established business relationship, a prior express invitation or permission, or a statement that the person does not wish to receive calls, and whether the number is described as listed on the national do-not-call registry. Record the caller identification the script uses. Do not decide that a call was permitted.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- FINRA Rule 3230 applies to a member's outbound telephone calls. It is not a ban on every unsolicited financial-product offer.
- The FTC page states the Telemarketing Sales Rule's hours. A FINRA member call is tested under Rule 3230.

## Sources

- [FINRA Rule 3230, telemarketing](https://www.finra.org/rules-guidance/rulebooks/finra-rules/3230) (checked 2026-10-22)
- [FTC, Complying with the Telemarketing Sales Rule](https://www.ftc.gov/business-guidance/resources/complying-telemarketing-sales-rule) (checked 2026-10-22)

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*