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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
--Select an Option--
CFP® Certification CE
FINRA e-Learning
Regulator
Type
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.