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OTC Markets Blog

Latest commentary on Market Structure, Compliance, Small Cap and Reg A+ issues, including insights on the news and trends that affect the public markets.

Cromwell Coulson’s Fireside Chat with Bob Pisani

Cromwell Coulson’s Lifetime Achievement Award and Dedication to STANY

April 19, 2018

The Security Traders Association of New York (STANY) honored OTC Markets Group CEO Cromwell Coulson with its 5th Annual Award for Lifetime Achievement and Dedication to STANY at its 82nd annual conference. Cromwell joined CNBC’s Bob Pisani for a Fireside Chat to talk about the evolution of OTC Markets Group and the contributions of  industry professionals that have leveraged their knowledge for the benefit of  both the trading community and investors.

OTC Markets Group CEO and President Cromwell Coulson and CNBC reporter Bob Pisani revisit a time before the advent of electronic trading.  The discussion focuses on how Cromwell, along with a group of investors, saw the value in making the pink sheets more transparent and electronic.  Through the valuable feedback and insight provided by the trading community, Cromwell created organized, efficient and data-driven markets  today knowns as OTC Markets Group.

 

Bob Pisani and Cromwell delve further into the discussion of bitcoin, where it fits in the regulatory scheme, how it is priced and the market’s job in assessing the risks. Cromwell also offers perspective on the role of short selling in today’s market.

Bob and Cromwell conclude their chat discussing volume in today’s current market and how to improve the process of capital raising by making it online, social and data-driven.

New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection

Stock Promotion

Late last year, OTC Markets Group published a new Stock Promotion policy, along with Best Practices for public companies.  These policies outline OTC Markets efforts to establish best standard practices, improve market transparency and better address the problem of fraudulent stock promotion. Continue reading “New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection”

2018 Regulatory Initiatives & Targeted Rulemaking: Improving Transparency, Focusing on Market Efficiency

Over the past 20 years, the reputation and recognition of the OTC markets has grown.  Part of that positive transformation has come from technology, both at OTC Markets Group and from the broker-dealer community, that has fostered a vibrant, data-driven, electronic trading market. Continue reading “2018 Regulatory Initiatives & Targeted Rulemaking: Improving Transparency, Focusing on Market Efficiency”

Why Can’t I Deposit my Shares?

Issues Facing Small Cap Issuers

As the market operator where thousands of small and micro-cap securities trade, we occasionally hear from issuers and their investors who are frustrated when brokers won’t deposit their stock. While this is generally perceived to be an OTC issue, the reality is that this affects privately issued shares on all public markets, including national exchanges. Continue reading “Why Can’t I Deposit my Shares?”

Understanding Blue Sky Laws

The OTC equity market operates within a unique, often complex regulatory environment.  While much of the securities industry focuses solely on federal laws and regulation, the companies, broker-dealers, investors and others comprising the OTC market must understand the impact of state “Blue Sky” laws as well.  Continue reading “Understanding Blue Sky Laws”

A Snapshot of the 2018 OTCQX® Best 50

We recently announced the 2018 OTCQX® Best 50.  Now In its 4th year, our annual ranking highlights the top 50 U.S. and international companies traded on the OTCQX Best Market, based on an equal weighting of one-year total return and average daily dollar volume growth.   The companies featured in the Best 50 were ranked based upon their performance during the 2017 calendar year.

Continue reading “A Snapshot of the 2018 OTCQX® Best 50”

The True Value of Best Practice Disclosure

In a World Where the “News Cycle,” Both Real and Fake, is 24/7, How Can Companies be Their Own Best Ally and Not Their Own Worst Enemy?

In a recent webinar on Corporate Governance, by Compass Investor Relations, the presenters touched upon the value of best practice corporate disclosure. Continue reading “The True Value of Best Practice Disclosure”

OTC Markets Group Establishes A Stock Promotion Policy

By Laura Anthony | Legal & Compliance, LLC

As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion policy and best practices guidelines to improve investor transparency and address concerns over fraudulent or improper stock promotion campaigns. Continue reading “OTC Markets Group Establishes A Stock Promotion Policy”

PR & the Small Cap Company

For small cap companies, the view of communications is most often through the lens of Investor Relations (IR) – the process of interacting with shareholders, the investment community and the financial media. Continue reading “PR & the Small Cap Company”

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