Non-listed and Penny Stocks

Pair listening with reading

Follow along with
the written unit.

Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:

• Characteristics of Penny Stocks
• Disclosure Requirements
• Escrowed Securities of a Blank Check Company
• Over-the-Counter Quoting and Trading
• Quoting Mechanics in OTC Equity Securities
• Display of Customer Limit Orders
• The Other Trading Practices Rule and Its Scope
• The Quotation Information Rule
• Initiating or Resuming Market Making (Form 211)

Put this episode into practice with adaptive questions and flashcards in the full Series 57 course.