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
Find this course for your license:
License or Certification
Regulator
Type