The events of 2020 have raised plenty of compliance issues within the equity markets including the explosion of retail activity, day-to-day event driven volatility and the influx of COVID-19/health care sector securities. They have also highlighted an issue that has often been overlooked during more sanguine markets – the large number of ‘Low Priced Securities’ (LPS) on U.S. exchanges. Continue reading “Quantifying Listed Low Price Security Risk – Small Cap Compliance Risk Scoring”
There is an adage that stocks need to be sold by having their stories widely told. This is especially important for smaller companies looking to promote themselves to customers and build their visibility with the investment community. Continue reading “Stock Promotion – Context, Concerns & Potential Solutions”
During conversations with compliance and risk departments over the past year, the topic of shell companies always comes up. For diligent compliance officers the reason for this focus is obvious, shell companies and more specifically trading with their affiliates are noted specifically in key notices and regulations, including: Continue reading “Shell Game”
Which US Equity Market has the largest number of securities NOT considered Penny Stocks according to SEC Rule 3a51-1? Based on the location of this post, you should be able to guess…. but that should make it no less surprising. The numbers speak for themselves: Continue reading “Don’t Be Pound Foolish”
The OTC equity market can seem overwhelming – with so many securities and data points to track, many compliance professionals are at loss for where to start. The good news is you are not alone.