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Tuesday, December 22, 2020 8:20:21 AM
Why is this change happening?
A Caveat Emptor security is a designation the OTC Markets Group places on a security after a determination was made surrounding the company that there may be potential risk to investors which may include:
a questionable stock promotion, and/or
known investigation of fraudulent activity committed by the company or insiders, and/or
regulatory suspensions, and/or
or disruptive corporate actions, and/or
other reasons.
Caveat Emptor securities have the potential for illiquid and highly volatile conditions. For further information surrounding the Caveat Emptor designation, please go to https://www.otcmarkets.com/learn/caveat-emptor.
We are notifying you as you may have traded in or held positions in securities of this type within the past 12 months.
What does this mean for your account?
On January 31, 2021, any positions held that are impacted by the Caveat Emptor designation will be set to liquidating transactions only and no opening transactions will be allowed for these securities. Any existing opening orders will be canceled but you may close out any open positions or continue to hold. You will not be allowed to add any new positions in these securities.
The list of impacted securities can be found *here.
Have Questions? Need Any Help?
We're here for you. Just reply to this message to write us. We're available 24 hours a day, seven days a week.
Sincerely,
TD Ameritrade Client Services
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