Penny Stock Sales (ELC160)

This course explains the penny stock rules and a registered representative’s sales practice obligations when recommending penny stocks. Scenarios reinforce the importance of disclosure and customer-specific suitability determinations.

 

Course Highlights

This online course leads participants through a series of scenarios, asks them to make decisions, shows correct and incorrect answers and then prompts them to complete and pass a mastery test at the end of the course.

 

Login for returning users.

Purchase Options

• Individual Course
  Purchase this course at a FINRA-member rate of $12.50 per course, per user, or at a non-member rate of $25 per course, per user.
  
  
• Individual Library Subscription
  If you are considering purchasing three or more courses, a Library Subscription may be the most cost-effective option. The Library Subscription grants you access to FINRA's entire growing library of e-learning courses, including all newly released courses, for a period of one year from the date of the subscription purchase. The Library Subscription FINRA-member rate is $45 per user, and the non-member rate is $90 per user.
  
  
• Group Purchases and Unlimited-Use Site Licenses
  FINRA also offers Group Purchases and Unlimited-Use Site Licenses for two or more users.

 

Note: A user name and password will be emailed within 48 hours of receipt of payment.

For more information, please call (212) 858-4119 or send us an email.