alindsey1196 alindsey1196

24-01-2024
Business

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Penny stock rules apply under which TWO of the following conditions?
1. The stock is priced below $5.00 per share
2. The customer is an active trader of penny stocks
3 The broker-dealer is a market maker in the security
4. The customer is an institutional investor
A. I and III
B. I and IV
C. II and III
D. II and IV

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