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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.

The Solution for European Companies to Access U.S. Investors

The U.S. Securities Exchange Act of 1932 (the “Act“) include an exemption for a foreign private issuer (“FPI“) meaning a listed, non-U.S. company from having to register a class of equity securities with the Securities and Exchange Commission (“SEC“) as otherwise required by the Act. In this blog, you will find the solution on how FPIs can gain access to the world’s largest capital market –U.S. institutional and private investors – without the cost and complexity of an IPO (e.g. at the NYSE or on Nasdaq) and thereby save time and money.

Continue reading “The Solution for European Companies to Access U.S. Investors”

Blue Sky Compliance Data – Exemption Types & Data Transparency

Data Transparency is not simply about making more data available; it is about helping users, both business and technical, better understand a data set and use that information to improve processes and products across an organization.  This concept of “transparency” was a guiding factor in our development of the Blue Sky Compliance product. After analyzing our new data set and identifying additional areas for automation and process improvement, our latest blog delves deeper into  Exemption Type data and examines how users can leverage this data point to reduce complexity and increase automation.

Continue reading “Blue Sky Compliance Data – Exemption Types & Data Transparency”

Why Now is the Time for Global Companies to Attract U.S. Investors

If there is a “new normal,” as the pundits are fond of saying, it involves learning to live with the risk of the unknown. And for foreign companies that are adaptable and tolerant of today’s macroeconomic uncertainties, these trying times provide an opportunity to diversify their shareholder base beyond their home market.

Investors, investor relations officers and C-suite executives alike appreciate certainty and predictability, and that is something in short supply in 2020. Yet, in the midst of unprecedented times, there’s a silver lining for foreign companies looking to expand and diversify their investor base in the U.S.

Continue reading “Why Now is the Time for Global Companies to Attract U.S. Investors”

Blue Sky Compliance Data – Key Trends

An analysis of data produced by our new Blue Sky Compliance data product has yielded some compelling insight into the OTC equities market.  This latest blog highlights some of the more current trends and identifies additional areas for automation and process improvement.

Continue reading “Blue Sky Compliance Data – Key Trends”

Automating and Simplifying Blue Sky Data Compliance

OTC Markets Group continues to develop products and solutions that make our markets more transparent, efficient and cost-effective for our issuers, market participants and investors.  We are therefore excited to announce the launch of our new Blue Sky Compliance data service.

Continue reading “Automating and Simplifying Blue Sky Data Compliance”

Q2 Community Bank Data: A Closer Look at What You’ll Find Outside of the Balance Sheet

As Q2 call report data becomes available, analysts are looking for indications of how the pandemic may be impacting allowances and delinquencies in community bank balance sheets.  However, considering COVID-19’s severe economic impacts didn’t begin until mid-March, what may be more telling at this juncture may be what is occurring off balance sheet.

Continue reading “Q2 Community Bank Data: A Closer Look at What You’ll Find Outside of the Balance Sheet”

Reassessing Market Options During Uncertain Times

During times of uncertainty, many company executives find themselves evaluating their initiatives, priorities and expenses through a new lens.  In recent months, we’ve spoken with management teams as they wrestle with whether it makes sense to maintain their exchange listing on NASDAQ or NYSE, given the cost and complexity it creates for their teams. Continue reading “Reassessing Market Options During Uncertain Times”

Quantifying Listed Low Price Security Risk – Small Cap Compliance Risk Scoring

The events of 2020 have raised plenty of compliance issues within the equity markets including the explosion of retail activity, day-to-day event driven volatility and the influx of COVID-19/health care sector securities.  They have also highlighted an issue that has often been overlooked during more sanguine markets – the large number of ‘Low Priced Securities’ (LPS) on U.S. exchanges. Continue reading “Quantifying Listed Low Price Security Risk – Small Cap Compliance Risk Scoring”

Today’s State of the Community Banking Market: Five Topics Being Discussed Among Bankers

Wall Street vs. Main Street – the discussion of the differences between the two is age-old.  Throughout this COVID-19 Pandemic, OTC Markets Group has seen America’s community banks step up to support the small businesses in their local communities by providing loans and other much needed financial support. Continue reading “Today’s State of the Community Banking Market: Five Topics Being Discussed Among Bankers”

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