Series 7 Must-Know: Penny Stock Account Approval and Disclosure Laws
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YouTubeKen Finnen: Cap Advantage Tutoring(Series 7 Exam)
Series 7 Must-Know: Penny Stock Account Approval and Disclosure Laws
Penny stocks look cheap—but the rules are brutal. In this no-BS breakdown, I walk you through SEC and FINRA penny stock disclosure requirements so you know exactly what your broker has to do before you make that first trade. We cover: What qualifies as a penny stock (under $5, OTC, Pink Sheets) Schedule 15G risk disclosure and the 2-day ...
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