Series 24: Penny Stock Rules (SEC Section 3, 15g Rules)

Taken from our Series 24 Online Guide

Penny Stock Rules (SEC Section 3, 15g Rules)

Penny stocks are typically low-priced (below $5), thinly traded securities. They are not listed on NASDAQ or any other national exchange. They are often quoted on the OTCBB or Pink Sheets. Because investing in penny stocks can be risky, the SEC has put in place specific rules that broker-dealers must follow before selling penny stocks.

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: Penny Stock Rules (SEC Section 3, 15g Rules), you might also be interested in:

Series 7 - 5.3.3.1 Debit Call Spread

Series 7 - 7.1.4 Primary Goal of a DPP

Series 22 - Discretionary Accounts

Series 79 - Debt/EBITDA Ratio

Series 63 - Exemptions to the Securities Act of 1933

Series 65 - Chapter Six: Tax Considerations and Retirement Plans

Series 82 - 3.5.5. Member Private Offerings

Series 24 - Net Worth

Series 27 - General Ledger

Series 24 - The Price Increases

Series 51 - Chapter 3 Practice Questions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

I passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!

Corrinne Kaucher

I was very impressed with all elements of Solomon's Series 24 offerings. Solomon provided an incredibly organized system for me to utilize, which kept me "on point" and focused. I felt good confidence going into the test because of the structured system that Solomon developed. I would certainly recommend Solomon to anyone that is taking the Series 24.

William Bundy, Bundy Group. Charlotte, NC

3rd time is a charm and it took Solomon to do it. None of the other materials in my first two attempts were strong enough to enable me to reason my way to the correct answers. Solomon's angle on this material was closest to the actual test and was the reason I got there.

As an aside, the ongoing personal help was very surprising and commendable. Thank you, Solomon!

Jason Bowen, Southington, CT

I passed the S24 today with a score of 80. Your study guide is great!!!

A.T.

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX