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Jason Paltrowitz

Jason Paltrowitz is Executive Vice President, Corporate Services at OTC Markets Group, where he is responsible for managing the firm’s international and domestic Corporate Services business. Drawing upon his expertise in cross-border trading and as a recognized proponent of Reg A+ and small company capital raising, Jason is an advocate for small cap issuers, start-ups, and entrepreneurial innovators working to alleviate the cost, time and complexity associated with being a public company. Prior to joining OTC Markets in October 2013, Jason was Managing Director and Segment Head at JP Morgan Chase responsible for the custody, clearing and collateral management business in the Corporate and Investment Bank division. Jason also held multiple senior management positions at BNY Mellon, most notably, as Head of M&A for the Financial Markets and Treasury Services Sector and 11 years as the Head of the Global Capital Markets Group in the Depositary Receipt Division. Jason currently serves on the Board of Directors of the Crowdfunding Professional Association (CfPA) and also served as a member of the Board of Directors at OTC Markets Group from 2008 – 2011. Jason holds a Bachelor's degree in International Relations from Boston University and received his MBA from the NYU Stern School of Business.

Capital is the lifeblood of every business & there are multiple options for Small-cap companies to access it

Small-cap companies require capital to hire new employees, purchase equipment, develop new products and services and expand their operations.  And while they have multiple options when it comes to raising capital to finance their businesses, not all options are created equal.

That’s why in our third whitepaper with IR Magazine, on Small-cap company issues, we analyze the pros and cons of four common financing options: Continue reading “Capital is the lifeblood of every business & there are multiple options for Small-cap companies to access it”

5 Takeaways from our Small-Cap IR Summit

As part of this year’s NIRI conference, OTC Markets Group worked with the team to organize and moderate a panel of industry experts dedicated to addressing the needs of small cap IR professionals. Continue reading “5 Takeaways from our Small-Cap IR Summit”

Challenges Faced by Small-Caps: The Results are in…

For unique insight into the small cap companies trading on our markets, we recently engaged their C-suite to shed light upon some of the challenges they face when trying to drive and increase investor interest in their stock. Between March and May of 2017, OTC Markets Group Inc. conducted a survey of 117 CEOs and CFOs at the helm of the U.S. and international companies that trade on our OTCQX and OTCQB markets.  The results of the inaugural Small-Cap Survey revealed that small-cap companies, traditionally defined as having a market capitalization of under $2 billion, are continuing to miss key opportunities to attract new investors and raise capital.  Continue reading “Challenges Faced by Small-Caps: The Results are in…”

Think an IPO is the only way to access the Public Markets?

The high cost to complete an IPO onto a U.S. stock exchange – on average $2.5 million*, combined with the declining bank appetite for small-cap IPOs, is forcing many small companies to stay private longer. However, the public markets offer tremendous benefits for small-cap companies seeking to raise capital and grow their businesses. Fortunately, an IPO isn’t the only method for small companies to gain the benefits of a public market.

In our second whitepaper with IR Magazine, on Small-Cap company issues, we focus on three alternatives to the traditional IPO: Continue reading “Think an IPO is the only way to access the Public Markets?”

3 Best Practices to build an effective IR Strategy

With more than 6,000 small and micro-cap companies trading on our markets, we are uniquely positioned to understand the issues they face, and help them effectively navigate the public markets. That’s why we’ve partnered with IR Magazine to develop a Small Cap IR whitepaper series that addresses the unique challenges in navigating the public markets, including high fees and changing market structure.

A successful public market experience starts with developing a well thought out IR strategy.

The most successful small-cap companies are those that employ certain public company best practices.  For some issuers, this will require a fundamental examination of the business, its principals, goals and objectives, for others it will require getting the company’s financial house in order.

Continue reading “3 Best Practices to build an effective IR Strategy”

Leveraging the high demand of Community Bank stocks

“The OTCQX Banks Index, a benchmark for community banks traded on the OTCQX market, gained 30 percent in the past 12 months, compared to 15 percent for the S&P 500.  How can community banks leverage this positive trend and deliver greater value to their shareholders? Continue reading “Leveraging the high demand of Community Bank stocks”

Addressing the SEC White Paper on OTC Equities

The SEC recently published a paper on OTC equity securities on their website. While I am always happy to see more research around OTC equities, I am surprised by the paper’s overly negative and misinformed conclusions about the growth in OTC dollar volumes.

Moreover, I am concerned that these flawed conclusions, drawn from outdated research and a study of a small group of securities subject to investigative requests by the SEC or FINRA, will be used to develop new regulations that harm capital formation.  Regulatory action based on this skewed sample could negatively impact the vast majority of companies that trade successfully on the OTC Markets.

The OTC Markets are More Transparent Today

Continue reading “Addressing the SEC White Paper on OTC Equities”

Don’t Look Now: You’re Public

Recently, at a Crowdfunding conference in L.A., I met with three company CEOs all in the process of doing Reg A+ deals.  When I asked them about their plans for secondary trading, I was surprised by the answer.  All three responded with some variation of “we don’t plan on going public – we will just issue the shares, there won’t be a market.”  Upon returning home I found another company advertising in GQ magazine offering shares for their Reg A+ deal.  In the Risks and Disclosure section of their Reg. A+ materials I came upon this statement: Continue reading “Don’t Look Now: You’re Public”

6 Key Takeaways from Our Reg A+ Bootcamp

OTC Markets Group recently held a Regulation A+ Bootcamp at our OTC Market Center in Manhattan to educate public and private companies about how to do a successful Reg A+ offering and go public under the Jumpstart Our Business Startups Act (JOBS Act).

Speakers included the team behind Elio Motors’ Reg A+ offering – Ron Miller of StartEngine Crowdfunding, Inc., Darren Marble of CrowdfundX, Scott Purcell of FundAmerica, LLC, and Seth Farbman and Yoel Goldfeder of VStock Transfer, LLC – as well as other crowdfunding industry experts who discussed everything from the current state of the Reg A+ market to how to crowdfund an offering to legal and accounting considerations, the escrow process, selecting a transfer agent and making shares tradable in a public market. Continue reading “6 Key Takeaways from Our Reg A+ Bootcamp”

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