SEC 新規定：粉紅單 Pink No Information
剛剛收到ETRDE的通知信件（內容如下），大意大概是今年九月底起，如果一些OTC粉紅單的證券揭露沒有辦法滿足SEC的新規範，未來投資人將無法透過經紀商，如Etrade買賣這些股票，所以立馬上檢視一下手上有那些屬這類的股票，因為實在不知道未來這些股票可否滿足新的規範，所以覺得不留下這些股票比較方便(這只是個人的做法)，在此分享，謝謝!
New rules will affect your ability to buy and sell “Pink No Information” securities, including at E*TRADE
On September 28, 2021, new requirements take effect that will impact the market for—and value of—certain “over-the-counter (OTC) securities” you currently hold or have held in the past. The new rules apply to “Pink No Information” OTC securities of companies that fail to publicly report and keep current financial and other company information and will restrict the ability of U.S. brokers, like E*TRADE from making these products generally available.
Some background on the new requirements
The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15c2-11 governing the submission and publication of OTC quotations. These amendments will prohibit broker-dealers from submitting or publicly disseminating bid/ask quotations for OTC securities of issuers that do not meet enhanced information filing requirements.
Securities of issuers that make the required information publicly available by the deadline in the rule should not be affected.
What these changes mean for you
Starting September 28, 2021, you will no longer be able to buy or sell “Pink No Information” OTC securities through E*TRADE. Other restrictions related to the purchase of these securities may apply sooner. Please keep in mind that the upcoming changes will negatively affect the value of any “Pink No Information” OTC securities you hold now or in the future.
Here’s how to get more information about these changes and how they might affect you:
Understand the SEC amendments for OTC securities
Learn more about quotations for OTC securities
As always, thank you for choosing E*TRADE. It is our privilege to serve you. |
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