Final Rule
Amendments to the Penny Stock Rules
Overview
The Securities and Exchange Commission is amending the definition of "penny stock' as well as the requirements for providing certain information to penny stock customers. These amendments are designed to address market changes, evolving communications technology and legislative developments.
Prior Actions
Proposed Rule (34-49037)
Release Number
34-49037
SEC Issue Date
Jan. 8, 2004
Federal Register Publish Date
Jan. 16, 2004
Document Citation
69 FR 2531
RIN
3235-AI02
Resources
Details
File Number
S7-02-04
Rule Type
Final
Release Number
34-51983
SEC Issue Date
July 7, 2005
Effective Date
September 12, 2005
Federal Register Publish Date
July 13, 2005
Document Citation
70 FR 40613
RIN
3235-AI02