The Financial Regulators - SEC, FINRA, and Penny Stocks There are three principal national financial regulators: the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the U.S. Commodity Futures Trading Commission (CTFC). The SEC is a federal agency; FINRA is private. ...
Understanding pennystocks and OTCMarkets Group Penny stocks are defined—for purposes of marginability—as non-exchange listed stocks trading under $5. They may file periodic financial reports and other materials with the Securities and Exchange Commission (SEC) or not. In the former case, they're generally called “OTCBB” stocks, for...
What are stock promotions / stock promoters? Stock promotions are, in the broadest sense of the term, a means of drawing attention to little-known, usually low-priced securities that would otherwise attract few investors. For traders, they can create profitable plays; for investors, they're almost always deadly. Originally,...
What are penny stocks? What are Penny Stocks? Penny stocks are the red-haired stepchild of our capital markets: badly behaved, often unpredictable, and generally despised by securities regulators. They're beloved by many traders, though, because their volatility and attractive pricing can, if the circumstances are right, make...
A big focus of this site is identifying potential pump and dumps prior to promotion, so that our members have an opportunity to buy in early and catch a good chunk of the upside. But one area we've neglected to cover is the potential to...
