SEC Rule 15g-2 - 500 Beiträge pro Seite

[Kroesus]

Wer hat in der letzten Zeit erstmalig OTC-Aktien in den USA gekauft?

Nach Vorschrift der SEC mit Rule 15g-2 muß die Bank vorab schriftlich auf die Risiken von OTC-Aktien hinweisen und vom Kunden ein datiertes und unterschriebenes Merkblatt zurückerhalten, bevor der Handel stattfinden kann.

Ist das geschehen?

[Antarius]

wo steht das deiner Meinung b.z.w. Information?
etwa in:
http://www.sec.gov/offices/marketr/bdguide.htm
Division of Market Regulation:
Compliance Guide to the Registration and
Regulation of Brokers and Dealers
. . .
E. Penny Stock Rules
(Rules 15g-2 through 15g-9

Broker-dealers that engage in transactions in "penny stocks" have certain
enhanced suitability and disclosure obligations to their customers. The term
"penny stock" generally refers to low-priced speculative securities, largely
traded in the NASD`s Bulletin Board Service or the "pink sheets."7 Before a
broker-dealer may effect transactions in penny stocks for or with a customer it
must first approve the customer for transactions in penny stocks and receive
from the customer a written agreement to the transaction. A broker-dealers
also must give each penny stock customer:

a document describing the risks of investing in penny stocks;

information on market quotations, if any;

information on the compensation of the broker- dealer and its
salesperson in the transaction; and

monthly account statements showing the market value of each penny
stock held in the customer`s account.

. . . .

7
Rule 3a51-1 generally defines "penny stock" as any equity security other than any security
that is listed on a national securities exchange or approved for quotation on Nasdaq, has a
price of five dollars or more, is issued by an investment company or by the Options Clearing
Corporation, or whose issuer has certain minimum net tangible assets or average revenues.
Exemptions from Rules 15g-2 through 15g-6 are provided for non-recommended
transactions, broker-dealers doing a minimal business in penny stocks, trades with
institutional investors, and private placements.

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Antarius