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Printer-Friendly Last Updated: 2/24/04 There are Rules to Protect You When Stockbrokers Call

What to Do if a Broker Calls

Brokers make sales calls to investors on a regular basis. We are providing you with valuable information to consider before conducting business with a salesperson or brokerage firm. We have produced information about Telemarketing Rules, as well as information on what to do when brokers "pitch" an IPO (Initial Public Offering). The SEC has also published an investor guide to "Cold Calling".

Investor Protection

There are Rules to Protect You When Stockbrokers Call