(b) Regardless of the form of acknowledgment used to satisfy the requirements of paragraph (a) of this section, it shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of a customer less than two business days after the broker or dealer sends such document.

Penny Stock Risk Disclosure Document “PENNY STOCK RISK DISCLOSURE DOCUMENT” (From Schedule 15G*) Pursuant to SEC Rule 15g-2 of the Securities Enforcement remedies and Penny Stock Reform Act of 1990. (b) Regardless of the form of acknowledgment used to satisfy the requirements of paragraph (a) of this section, it shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of a customer less than two business days after the broker or dealer sends such document. Penny Stock Trading Risk Disclosure This disclosure contains additional important information regarding the characteristics and risks associated with trading small-cap (penny) stocks. What is a "Penny" Stock? Generally, penny stocks are low-priced shares of small companies that are not traded on an exchange or quoted on NASDAQ. Penny Stocks Risk Disclosure Important Information on Penny Stocks This statement is required by the U.S. Securities and Exchange Commission (SEC) and contains important information on penny stocks. Your broker-dealer is required to obtain your signature to show that you have received this statement before your first trade in a penny stock. The required risk disclosure document (which is set forth in Schedule 15G, and included at the end of this section) discloses certain risks associated with investment in penny stocks, describes the penny stock market, provides a brief description of a broker-dealer’s obligations under the Penny Stock rules and informs customers generally of certain of their rights and remedies under the federal securities laws. Penny Stocks Risk Disclosure You are advised to read this before buying or selling any penny stocks online. Trading penny stocks online has some built-in risks for traders. Below is some vital information about trading penny stocks online. The Risk Disclosure Document, which is set forth in Schedule 15G to the disclosure rules, defines the term penny stock, identifies certain risks associated with investing in penny stocks, describes the penny stock market, provides a brief description of a broker/dealer's obligations under the disclosure rules, and informs customers of their rights and remedies under federal and state law, among other things.

The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish customers prior to engaging in transactions in penny stocks, as defined by the SEC's Penny Stock Disclosure Rules.

25 Sep 2016 Penny stocks or penny shares as they are referred to are stocks which trade at a low liquidity and extremely high risk and bid-ask spreads (which lead to higher impact costs). Insufficient and irregular corporate filings and disclosures Please ensure you carefully read the risk Disclosure Document as  5 Oct 2016 penny stocks listed in the National Stock Exchange of India, we show that (i) Returns of portfolio of lower taken into account the risk premium attributed to several factors. The price They also document how these effects have changed over time. spreads and limited disclosure of information. The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish customers prior to engaging in transactions in penny stocks, as defined by the SEC's Penny Stock Disclosure Rules. Penny Stock Risk Disclosure Document “PENNY STOCK RISK DISCLOSURE DOCUMENT” (From Schedule 15G*) Pursuant to SEC Rule 15g-2 of the Securities Enforcement remedies and Penny Stock Reform Act of 1990. (b) Regardless of the form of acknowledgment used to satisfy the requirements of paragraph (a) of this section, it shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of a customer less than two business days after the broker or dealer sends such document.

The risks of penny stocks stem from several contributing factors. the penny stock transaction; (2) provide the customer with a written disclosure describing the 

4 days ago Before trading options, please read Characteristics and Risks of Standardized Options. Supporting documentation for any claims, if applicable,  The risks of penny stocks stem from several contributing factors. the penny stock transaction; (2) provide the customer with a written disclosure describing the 

Miami penny stock and investment attorneys, Carlson & Associates, P.A. have the customer a disclosure document describing the risks of investing in penny 

(b) Regardless of the form of acknowledgment used to satisfy the requirements of paragraph (a) of this section, it shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of a customer less than two business days after the broker or dealer sends such document. Penny Stock Risk Disclosure. You are advised to read this before buying or selling any penny stocks online. Trading penny stocks online has some built-in risks for traders. Below is some vital information about trading penny stocks online. Important Information Concerning Penny Stocks Penny stocks can be very risky. -Penny stocks are low-priced shares of small companies not traded on an exchange or quoted on NASDAQ. Prices often are not available. Investors in penny stocks often are unable to sell stock back to the dealer that sold them the stock. Thus, you may lose your investment.

13 Apr 2015 What is a "Penny" Stock? Generally, penny stocks are low-priced shares of small companies that are not traded on an exchange or quoted on 

Receipt for shares of foreign-based companies that entitle the shareholder to all including the capability to evaluate the risks of trading in penny stocks. that have posted limited financial information through the OTC Disclosure & News A document, usually containing a financing statement, filed with the SEC and made  PORTFOLIO MARGIN RISK DISCLOSURE STATEMENT Before investing in a penny stock, you should thoroughly review the company issuing the penny  Canadian Investment Funds Custodian Disclosure CFTC Risk Disclosure Statement - Appendix A to Rule 1.55 Penny Stock Trading Risk Disclosure.

Pursuant to Sec Rule 15g-2 of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990, we are obligated to provide you with the enclosed Risk Disclosure Document prior to effecting any transaction involving any Penny Stock, not qualifying for an Download Penny Stock Risk Disclosure Document - DMA Consulting Group book pdf free download link or read online here in PDF. Read online Penny Stock Risk Disclosure Document - DMA Consulting Group book pdf free download link book now. All books are in clear copy here, and all files are secure so don't worry about it. The current penny stock disclosure document was written over a decade ago and reflects the market as it existed at that time. The proposed revisions to the penny stock disclosure document would bring it up to date, and make it more streamlined and understandable to investors. Penny Stock: A penny stock typically trades outside of the major market exchanges at a relatively low price and has a small market capitalization. These stocks are generally considered highly