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 - 14.8. Retaining Books and Records

Series 53 - Monitoring Written Correspondence

Series 65 - 1.5.1.2.7. Call Risk

Series 24 - 5.11.4.5. Coupon Bonds

Series 24 - Reporting System for Listed Securities Traded Over the Counter

Series 79 - 3.1.3. Current and Quick Ratios

Series 66 - Chapter 9 Practice Questions

Series 65 - Diversification of Funds

Series 79 - Liability for Offers or Sales in Violation of Section 5

Series 52 - 5.3. Understanding Yield

Series 7 - 18.3.2.3. Persons Exempt from Registration

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to let you know I passed the exam [Series 24] this morning! The practice exams were invaluable. Thank you for your extra help and suggestions. I have recommended this to two of my co-workers who will be taking the Series 7 this year. I will say, the 24 was worded so tricky. And so much irrelevant info put into the questions. I had to write down pieces of the question to get the gist of what it was asking. Very purposfully confusing. But it's over and I'm thankful for your product. Thx again

Karmen Richards, Multi Financial Securities, Greensboro, NC

I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

Nikita Brown, BMI. Atlanta, GA

Just wanted to say thank you and give you a good review. I actually found that your test questions were harder than the actual exam and the explanations and the ability to create tests of all of my wrong answers helped me focus on my weak areas of the exam. I passed the first time and don't believe I couldn't have done it without your test bank. Thanks again.

Chris Porosky, FL

I passed my Series 24 today with an 80% thanks to Solomon Test Prep! I found the most benefit from using the practice exams as a learning tool, reading each answer explanation as I went along, regardless of a(n) correct/incorrect response. I found that for this exam, understanding the concepts is equally as important as memorization! Good luck!

Audrey M., Austin, TX

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

Stick to the plan and pass! 4 times in a row, 7, 63, 24 and now 79. You can't beat the Solomon materials.

Eric Altmann

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

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)

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

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →