Caveat Emptor Restricted Securities By January 31, 2021, TD Ameritrade will restrict orders in Caveat Emptor designated OTC securities to liquidating trades only. 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 include a questionable stock promotion, known investigation of fraudulent activity committed by the company or insiders, regulatory suspensions, or disruptive corporate actions, among other reasons. The current list of Caveat Emptor restricted securities is below and is subject to change at any time:
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