Question: If a registered representative solicits an order from a new customer to purchase a penny stock that is trading over - the - counter, '
If a registered representative solicits an order from a new customer to purchase a "penny stock" that is trading overthecounter, required?ASend a prospectus to the customerBHave the customer sign a statement that he or she understands the risks involved prior to executing the orderCHave the branch manager approve the order and then fill the customer's order in the same manner as with any other security.DSend the customer a Subscription Agreement to be signed before filling the order
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