Search

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.

Author

Guest Contributor

Our Guest Contributor section features articles, thought pieces and blog posts from industry experts on capital markets topics. Articles are reposted with permission.

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.

Compass Investor Relations partners Mark Collinson and Elaine Ketchmere, shared their thoughts:

There has always been real and fake news.  Today, this news can be transmitted, duplicated, discussed, endorsed, refuted and recycled in an instant.

And so how do companies ensure that their securities prices reflect the true nature of the company’s performance and prospects?  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. The stock promotion policy and best practices guidelines are designed to assist companies with responsible investor relations and to address problematic issues. Recognizing that fraudulent stock promotion is a systemic problem requiring an all-fronts effort by industry participants and regulators, the new policy focuses on transparency and disclosure of current information, and the correction of false statements or materially misleading information issued by third parties.

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.

Since the primary objective of any public company is to enhance shareholder value, attract new investors and meet regulatory obligations, the need for IR is self-evident, whether conducted by senior executives, internal IROs or external IR professionals.

Continue reading “PR & the Small Cap Company”

Is Regulation A+ an Initial Public Offering – IPO?

By Rod Turner | Manhattan Street Capital, Inc.

This is not a traditional IPO. While you are allowed to use a Reg A+ offering to take your company public and list it on the NASDAQ or the NYSE, that is not a requirement, and it is not the path most companies will take because the reporting costs from being public on the big boards are very high.  An advantage of using Regulation A+ to take your company public to the NASDAQ or NYSE is that you can set a zero minimum for the Reg A+ itself and then if you do not meet the minimum listing capital raise for the NASDAQ or NYSE you can still complete the raise and get the capital. Then the option to uplist exists for a later date.

A more cost effective route is to list your company on the OTCQB, or the OTCQX; see below for more on this. Some companies are taking this route with a plan to uplist when they are more established. Continue reading “Is Regulation A+ an Initial Public Offering – IPO?”

Corporate Governance Rules of the Road

There is growing interest in the area of Corporate Governance and how companies can leverage best practices to attract investors and lower the cost of raising capital.  To provide companies with the “rules of the road” we recently hosted a webinar with Compass Investor Relations.   Continue reading “Corporate Governance Rules of the Road”

Why pay-to-play research and marketing makes sense for ‘smicrocaps’

By David Collins, IR Magazine |  Tackling the challenges faced by small and micro-cap companies.

Life as a small or micro-cap public company is getting harder by the day as the pool of buy-side interest is shrinking almost as fast as sell-side research, and sales and capital markets sponsorship is contracting. Accordingly, the ‘smicrocap’ IRO’s task of finding worthwhile targets to pitch and introduce to management also grows more challenging – and, unfortunately, the smaller you are, the harder your job has become.

Continue reading “Why pay-to-play research and marketing makes sense for ‘smicrocaps’”

Blog at WordPress.com.

Up ↑