Q3 2025 Compliance Snapshot: Promotions & Deficiencies

Proactive and timely monitoring of Promotion and Deficiency data across all listed and OTC securities is a key compliance function, helping mitigate regulatory risk and ensure adherence to market standards.

In Q3 2025
Notional Activity of Promoted Securities:

88.9% in Nasdaq securities
5.9% in NYSE securities
5.08% in NYSE American securities
0.3% in OTC Markets traded securities

Deficiencies:

9% in NYSE securities
7% in NYSE American securities
84% in Nasdaq securities

View the data for Q2 2025 and Q1 2025.

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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