FINRA Sample Penny Stock Risk Disclosure Document

The FINRA Sample Penny Stock Risk Disclosure Document serves as an important disclosure document that broker-dealers are required to furnish customers prior to engaging in transactions in penny stocks in accordance with SEC Rule 15g-2 of the Penny Stock Disclosure Rules adopted pursuant to the Securities Enforcement Remedies and Penny Stock Reform Act of 1990. Members also viewed WSP Section 19- Low Priced Securities (Penny Stocks), and our WSP Library.

Version/Update: VU-08011992

Total Page Count/Format: 5/.docx

Source/Author(s): FINRA