• CCG

FINRA Released a Notice Relating to Red Flags of Fraud on Low Priced Securities.



There is a long history of bad actors exploiting low priced securities. These actors take advantage of trends and major events such as the growth in cannabis-related businesses or the ongoing COVID-19 pandemic. This Notice provides information that may help FINRA member firms that engage in low-priced securities business assess and identify client and firm risks.

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