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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.

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Cass Sanford

As Associate General Counsel at OTC Markets Group, Cass furthers the company’s regulatory and policy making initiatives and overall mission to create better informed, more efficient marketplaces.

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  These outdated regulations negatively impact hundreds of qualified, U.S.-based companies on the OTCQX and OTCQB markets that collectively employ over 100,000 workers.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” →

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2018 Regulatory Initiatives & Targeted Rulemaking: Improving Transparency, Focusing on Market Efficiency

Over the past 20 years, the reputation and recognition of the OTC markets has grown.  Part of that positive transformation has come from technology, both at OTC Markets Group and from the broker-dealer community, that has fostered a vibrant, data-driven, electronic trading market. Continue reading “2018 Regulatory Initiatives & Targeted Rulemaking: Improving Transparency, Focusing on Market Efficiency” →

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