Series 24: Rule 15g-1– Exemptions For Certain Transactions

Taken from our Series 24 Online Guide

Rule 15g-1– Exemptions for Certain Transactions

Certain transactions are exempted from penny stock trade rules 15g-2 through 15g-6 as described in this Rule 15g-1:

  • Transactions by broker-dealers whose revenue from penny stocks is less than 5% of their total revenue and who have not acted

Since you're reading about Series 24: Rule 15g-1– Exemptions For Certain Transactions, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 24
Please Enable Javascript
to view this content!