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Nov 9, 2009 7:35 pm

Can you use email to send things to people you have never talked to?

Nov 9, 2009 7:47 pm

If you mean buying a list or finding a chamber list online and start emailing them information, the general answer is no.  Most B/D’s won’t allow you to do this without first gaining permission.

Nov 9, 2009 7:50 pm

I know that with my B/D, e-mails can only be sent to clients or people who have given explicit permission.  I don’t know if this is FINRA or just my B/D.

Nov 9, 2009 8:18 pm

Look up CAN-SPAM rules. That is what they are going off of. 

Nov 9, 2009 8:22 pm

Nah, that’s pretty much standard in the industry.  Sort of like Do-not-call for e-mail.

Nov 11, 2009 1:40 pm

We need compliance approval for any piece going out to more than 10 people via regular mail or email.