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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.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • 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:

Registered representatives and registered principals




Course Information

Adding additional credit may change exam requirements.

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