Skip to Content


Amendments to the Penny Stock Rules

Document Details

Information about this document as published in the Federal Register.

Published Document

This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

Start Preamble


Securities and Exchange Commission.


Final rule; corrections.


In Release No. 34-51983, the Securities and Exchange Commission issued amendments concerning the “penny stock rules” under the Securities Exchange Act of 1934, which appeared in the Federal Register of July 13, 2005 (70 FR 40614). In Release No. 34-51808, the Commission issued Regulation NMS, which appeared in the Federal Register of June 29, 2005 (70 FR 37496), and which, among other things, made technical amendments to the definition of penny stock. Since the effective date of Regulation NMS predates that of the amendments to the penny stock rules, the Commission is making technical corrections to the amendments to the penny stock rules to conform to the changes made in connection with Regulation NMS.


Effective September 12, 2005.

Start Further Info


Catherine McGuire, Chief Counsel, Paula R. Jenson, Deputy Chief Counsel, Brian A. Bussey, Assistant Chief Counsel, or Norman M. Reed, Special Counsel, at 202/551-5550, Office of Chief Counsel, Division of Market Start Printed Page 46090Regulation, Securities and Exchange Commission, Station Place, 100 F Street, NE., Washington, DC 20549.

End Further Info End Preamble Start Supplemental Information


In FR Doc 05-13737 appearing on page 40614 in the Federal Register of Wednesday, July 13, 2005, the following corrections are made:

Start Amendment Part

1. On page 40631, second column, revise the introductory text of paragraph (a) to read “(a) That is an NMS stock, as defined in § 242.600(b)(47), provided that:”.

End Amendment Part Start Amendment Part

2. On page 40632, first column, paragraph (e)(1), 5th line, revise “§ 240.11Aa3-1” to read “§ 242.601”.

End Amendment Part Start Signature

Dated: August 3, 2005.

Jonathan G. Katz,


End Signature End Supplemental Information

[FR Doc. 05-15681 Filed 8-8-05; 8:45 am]