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Important Notice: Updates on Trading Restrictions for U.S. Penny Stocks and Micro-cap Stocks
Thank you for your continued support to Yuanta Securities (Hong Kong) Company Limited (“our company”).
To comply with the regulatory requirements of the U.S. stock market, our company will officially update the trading restrictions on our trading system for U.S. Penny Stocks* and Micro-cap Stocks# with effect from 1st November, 2026.
Notes:
* U.S. Penny Stocks generally refer to stocks that have previously traded at a price of $5.00 or below, or whose company market capitalization has previously been equal to or less than $300 million.
# U.S. Micro-cap Stocks generally refer to stocks whose company market capitalization has previously been equal to or less than $300 million.
The specific adjustments to the trading system restrictions regarding U.S. Penny Stocks and Micro-cap Stocks are as follows:
• Suspension of Buy orders: In principle, we will no longer provide buy order services for U.S. penny and micro-cap stocks to general retail clients.
• Conditional Restrictions on Transfers In or Out: We will process orders for the sale of remaining positions in U.S. penny and micro-cap stocks for affected retail clients, subject to certain conditions. U.S. penny and micro-cap stocks transferred in by general retail clients are subject to condition for custodial purposes only, effective November 1, 2026.
• Custody Services Remain Unchanged: Custody services for the aforementioned stocks will continue to be provided until further notice. All current U.S. penny and micro-cap positions held by clients, including those previously holding relevant stock rights and affected retail clients, will remain securely held in custody by us.
Please note that the company reserves the right to modify the list of permissible tradeable stocks on our platform (including but not limited to the scope of U.S. Penny Stocks and U.S. Micro-cap Stocks) at any time at its sole discretion without prior notice.
If you have any questions regarding the above arrangements or your current asset holdings, please contact your Account Manager or call our Customer Service Hotline at (852) 3555 7878.
Yours faithfully,
Yuanta Securities (Hong Kong) Company Limited
23rd October, 2026
Important Notice: Updates on Trading Restrictions for U.S. Penny Stocks and Micro-cap Stocks
2026/10/23 15:50
Dear Valued Customers,Important Notice: Updates on Trading Restrictions for U.S. Penny Stocks and Micro-cap Stocks
Thank you for your continued support to Yuanta Securities (Hong Kong) Company Limited (“our company”).
To comply with the regulatory requirements of the U.S. stock market, our company will officially update the trading restrictions on our trading system for U.S. Penny Stocks* and Micro-cap Stocks# with effect from 1st November, 2026.
Notes:
* U.S. Penny Stocks generally refer to stocks that have previously traded at a price of $5.00 or below, or whose company market capitalization has previously been equal to or less than $300 million.
# U.S. Micro-cap Stocks generally refer to stocks whose company market capitalization has previously been equal to or less than $300 million.
The specific adjustments to the trading system restrictions regarding U.S. Penny Stocks and Micro-cap Stocks are as follows:
• Suspension of Buy orders: In principle, we will no longer provide buy order services for U.S. penny and micro-cap stocks to general retail clients.
• Conditional Restrictions on Transfers In or Out: We will process orders for the sale of remaining positions in U.S. penny and micro-cap stocks for affected retail clients, subject to certain conditions. U.S. penny and micro-cap stocks transferred in by general retail clients are subject to condition for custodial purposes only, effective November 1, 2026.
• Custody Services Remain Unchanged: Custody services for the aforementioned stocks will continue to be provided until further notice. All current U.S. penny and micro-cap positions held by clients, including those previously holding relevant stock rights and affected retail clients, will remain securely held in custody by us.
Please note that the company reserves the right to modify the list of permissible tradeable stocks on our platform (including but not limited to the scope of U.S. Penny Stocks and U.S. Micro-cap Stocks) at any time at its sole discretion without prior notice.
If you have any questions regarding the above arrangements or your current asset holdings, please contact your Account Manager or call our Customer Service Hotline at (852) 3555 7878.
Yours faithfully,
Yuanta Securities (Hong Kong) Company Limited
23rd October, 2026
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