Series 24: Rule 15g-9– Sale Requirements

Taken from our Series 24 Online Guide

Rule 15g-9– Sale Requirements

Before selling a penny stock to a non-established customer, a broker-dealer must conduct a suitability analysis, in which they collect suitability information from the customer and then give a detailed repo

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Series 24: Rule 15g-9– Sale Requirements

Taken from our Series 24 Online Guide

Rule 15g-9– Sale Requirements

Since you're reading about Series 24: Rule 15g-9– Sale Requirements, you might also be interested in:

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