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

OMB 3235-0434

OMB 3235-0434

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.

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15g-2(a) - Mailing documents

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