Guten Abend,
ich habe mich mal etwas schlau bezüglich den Penny Stocks gemacht.
Erst einmal, was ist ein Penny Stock?
"Penny stocks, also known as cent stocks in some countries, are common shares of small public companies that trade at low prices per share.
In the United States, the U.S. Securities and Exchange Commission (SEC) defines a penny stock as a security that trades below $5-per-share, is not listed on a national exchange, and fails to meet other specific criteria.[1] In the United Kingdom, stocks priced under £1 are called penny shares."
Diese Aktien unterliegen bestimmten Regeln:
"Regulation
In the United States, regulators have defined a penny stock as a security that meets a number of specific standards. The criteria include price, market capitalization, and minimum shareholder equity. Securities traded on a national stock exchange, regardless of price, are exempt from regulatory designation as a penny stock,[21] since it is thought that exchange-traded securities are less vulnerable to manipulation.[22] Therefore, Citigroup (NYSE:C) and other NYSE-listed securities which traded below $1.00 during the market downturn of 2008–09, while properly regarded as "low-priced" securities, were not technically "penny stocks".
Although penny stock trading in the United States is now primarily controlled through rules and regulations enforced by the SEC and FINRA, the genesis of this control is found in State securities law. The State of Georgia was the first state to codify a comprehensive penny stock securities law.[23] Secretary of State Max Cleland, whose office enforced State securities laws,[24] was a principal proponent of the legislation. Representative Chesley V. Morton, the only stockbroker in the Georgia General Assembly at the time, was principal sponsor of the bill in the House of Representatives. Georgia's penny stock law was subsequently challenged in court. However, the law was eventually upheld in U.S. District Court,[25] and the statute became the template for laws enacted in other states. Shortly thereafter, both FINRA and the SEC enacted comprehensive revisions of their penny stock regulations."
Ich möchte eure Aufmerksamkeit auf folgende Passage richten:
"Securities traded on a national stock exchange, regardless of price, are exempt from regulatory designation as a penny stock" (mit Verweis auf die Citygroup im Jahre 2008-09)
Somit ist die Wahrscheinlichkeit groß, dass Steinhoff zwar im Penny Stock Bereich gehandelt wird, per Definition jedoch kein Penny Stock ist.
Quelle: en.wikipedia.org/wiki/Penny_stock
Und für Interessierte: Die Webpage der US Securities and Exchange Commission (www.sec.gov/fast-answers/answerspennyhtm.html)
Frage: Dürfen Institutionelle Investoren in Penny Stock Aktien investieren?
Solange sie sich an die Regeln halten, gelten wohl nur die Restriktionen, die sie sich selber auferlegen.
Zwar heißt es auf der folgenden Seite (www.investopedia.com/articles/...r-invests-penny-stocks.asp), dass es einigen Finanzinstituten verboten sei in Penny Stock Aktien zu investieren (siehe: "Hedge funds: While many financial institutions are prohibited from trading penny stocks, loosely regulated hedge funds have no such restrictions. That said, most hedge funds won't trade penny stocks on the long side: They far prefer short-selling penny stocks that look to have peaked after being heavily promoted."), es jedoch auf "cnbc" heißt, dass erst vor kurzem die Bank of America als erstes Institut den Handel mit Penny Stock einschränkt habe (siehe www.cnbc.com/2018/09/28/...nny-stocks-with-purchase-ban.html; wichtiger Abschnitt: "
Bank of America appears to be the first major wirehouse to restrict the purchase of penny stocks. Rivals Morgan Stanley and UBS still allow the trades in some instances.")
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