FINRA: Penny Stock Sales

Course Description

This course explains the penny stock rules and a registered representative’s sales practice obligations when recommending penny stocks. Scenarios reinforce the importance of disclosure and customer-specific suitability determinations.

Learning Objective(s)

By taking this course, you will be able to:

  • Explain penny stock rules and issues that registered representatives should consider when dealing with penny stocks transactions.
  • Understand how penny stocks have been used in fraudulent securities schemes.



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