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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.

More Efficient Access to U.S. Capital Markets

Many foreign issuers are unaware that there are limitations as to what can be achieved by solely listing in their home (primary) market.  At a time of continued uncertainty around fiscal and monetary policies, the influence of geopolitical factors and their impact on the global economy, gaining access to the U.S. capital markets is imperative for many international companies.  Now more than ever, companies must consider efficient ways to expand their global footprint and engage a U.S. audience to broaden and diversify their shareholder base. Continue reading “More Efficient Access to U.S. Capital Markets”

OTC Markets Group Top Performing Banks Report by Qaravan: 2Q 2019

Advanced Data Analysis Helps Connect the Dots to Highlight the Nation’s Top Performing Community Banks

Continue reading “OTC Markets Group Top Performing Banks Report by Qaravan: 2Q 2019”

ESOPs: The Importance of Small Company Employee Ownership

Employee Stock Ownership Plans (ESOPs) allow employees to participate in the economic performance of a company, share in corporate profits, and save for retirement.  Congress has long recognized the advantages of employee ownership by authorizing and encouraging ESOPs through favorable tax treatment.

However, current IRS regulations significantly restrict the ability of many small public companies not traded on a national securities exchange to offer ESOPs to their employees.  These outdated regulations negatively impact hundreds of qualified, U.S.-based companies on the OTCQX and OTCQB markets that collectively employ over 100,000 workers. Continue reading “ESOPs: The Importance of Small Company Employee Ownership”

2019 Mid Year Review

In 2019, we welcomed nearly 200 companies to our OTCQX and OTCQB Markets, moved into new offices in New York and London, and launched our Virtual Investor Conference platform. As we look ahead to the rest of the year, we review key milestones in our ongoing mission to provide companies with more efficient solutions to better engage and inform investors. Continue reading “2019 Mid Year Review”

Blue Sky Recognition Continues to Gain Traction

OTC Markets Group Garners Blue Sky Exemptions in 35 States

Since May 2016, we have fostered an active dialogue with constituents at the North American Securities Administrators Association (NASAA) and individual state regulators with the goal of providing investors, companies, brokers and other market participants with a defined regulatory structure that recognizes the transparent current disclosure provided by OTCQX and OTCQB companies.  We appreciate the hard work and diligence of NASAA members as we work to achieve important exemptions for our OTCQX and OTCQB markets under state Blue Sky laws governing secondary trading. Continue reading “Blue Sky Recognition Continues to Gain Traction”

Regulation A 2019 Progress Report

Born out of the 2012 JOBS Act, Regulation A (Reg A) was amended to provide a streamlined pathway for companies to raise up to $50 Million while benefiting from general solicitation, ‘testing the waters’ and state Blue Sky preemption.  SEC reporting companies were originally excluded from using Reg A; however, in January 2019, the SEC adopted new rules to expand Reg A to SEC-reporting companies, enabling public companies to raise capital in a similar manner to a traditional IPO via an S-1 registration or an S-3 shelf registration. Continue reading “Regulation A 2019 Progress Report”

A Conversation with Qaravan Founder Tony Hodson

OTC Markets Group recently announced the acquisition of QaravanSM Inc., a leading provider of innovative  software and risk & performance analytics tailored to the banking industry.

We sat down with Tony Hodson, now the Senior Vice President of Market Data at OTC Markets Group, to learn more about how bank data and analytics have evolved over time. Continue reading “A Conversation with Qaravan Founder Tony Hodson”

Practice Corporate Governance to Help Achieve Your Company Goals

Although more commonly associated with larger firms, corporate governance is just as important for small and micro-cap companies.

By adhering to high governance standards, small-caps are better placed to achieve their goals and attract new investment. Continue reading “Practice Corporate Governance to Help Achieve Your Company Goals”

CECL: Unpaved Road Ahead

The Genesis/Birth of CECL

After the 2008 financial crisis, much of the focus on the regulation of financial institutions shifted to mitigating systemic risk. This included an increased focus on stress testing and the recapitalization of institutions—both intended to help ensure solvency and insulate the global economy from further erosion. Continue reading “CECL: Unpaved Road Ahead”

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