SEC’s Disclosure Statement on Microcap Stock- A Guide for Investors

The SEC’s Disclosure Statement on Microcap Stock- A Guide for Investors serves as an important disclosure document that broker-dealers are required to furnish to 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-09172013

Total Page Count/Format: 10/.docx

Source/Author(s): SEC