Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules

Rule 17 CFR 240.15g-2, adopted Jul 12, 1992, and amended on July 13, 2005, requires broker-dealers to provide their customers with a risk disclosure document, as set forth in Schedule 15G, prior to their first non-exempt transaction in a "penny stock."

The latest form for Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules expires 2024-01-31 and can be found here.

15g-2(a) - Mailing documents

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight