Enhance Surveillance Coverage Across US Equity Securities

This month we announced coverage expansion of the Small Cap Listed Compliance Analytics product to include all listed corporate issuer securities. We believe this will allow firms to improve compliance processes across the universe of US equity securities. The importance of timely surveillance is apparent when analyzing our Promotions and Deficiencies data in Q1 2025.

In Q1 2025, Nasdaq saw Dollar Volume of $26.2 BN in Active Promotions, $62.3 BN Dollar Volume in Year to Date Promotions and $42.4 BN Dollar Volume in Deficient securities.

To View Q4 2024 Small Cap Promotion and Deficiencies data, visit our blog here.

Learn more about the OTC Markets Listed Compliance Analytics File here.

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Matt Fuchs

Matthew Fuchs, EVP of Market Data, leads the product development, distribution and sales of market data at OTC Markets Group. Prior to joining OTC Markets Group, he served in a number of financial technology roles at the National Research Exchange, Bearing Point and Arthur Andersen. Matt received a BA from Columbia University