FINRA: Penny Stock Sales

Overview

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 Objectives

Upon completion of this course, students 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

Designed For

All registered representatives and registered principals
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