Series 7 Exam Prep 84, Penny Stocks and Low-Priced Securities
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - A penny stock is an unlisted (non-Nasdaq) security trading under $5 per share. - For solicited penny stock sales to new customers, a firm must provide a risk disclosure document and receive a signed suitability statement before the trade. - The signed…
The skinny
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