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penalty bid

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Financial Dictionary

Penalty Bid

A bid intended to facilitate a securities offering by stabilizing its price during the distribution period. This bid is typically entered by the managing underwriter on behalf of a syndicate.

Investopedia Commentary

A syndicate penalty bid can be displayed on the Nasdaq system during a security's registered public offering period. This activity is permissible under SEC Rule 10b-7.

Related Links

IPO Basics Tutorial
The Murky Waters Of The IPO Market
Markets Demystified
Brokerage Functions: Underwriting And Agency Roles

See also: IPO, Nasdaq, SEC, Syndicate, Underwriting

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Financial Dictionary

penalty bid

A financial penalty sometimes imposed by the underwriter of a new securities issue against a broker whose customer(s) sold shares of the issue immediately after purchase. Penalty bids are imposed in order to keep the price of a newly issued security from declining.

Wall Street Words: An A to Z Guide to Investment Terms by David L. Scott.
Copyright © 2003. Published by Houghton Mifflin.
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