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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.

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”

Shining a Light on Stock Promotion… New Policy + Best Practices = Enhanced Market Transparency

The increased proliferation of digital platforms, social media and online investment newsletters can offer today’s public companies and investor relations professionals more immediate access to engage with a broader universe of potential investors. Continue reading “Shining a Light on Stock Promotion… New Policy + Best Practices = Enhanced Market Transparency”

Short-Term Gain = Long-Term Pain?

Building a Sustainable Public Company with Longer-Term Investors

Continue reading “Short-Term Gain = Long-Term Pain?”

Discover Small-Cap IR Best Practices to Attract Investors

Earlier this year we shared the results from our inaugural Small-Cap Survey. Our final whitepaper with IR Magazine on small-cap company issues was influenced by the key finding that 70% of CEOs/CFOs at small-caps manage their IR internally, but they spend only 11% of their time on investor outreach. Continue reading “Discover Small-Cap IR Best Practices to Attract Investors”

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