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”
At first look, FINRA Rule 2114, Recommendations to Customers in OTC Equity Securities (The OTC Rec Rule), seems onerous and vague – two of a Compliance Officer’s least favorite adjectives. The initial requirement reads as follows: Continue reading “Quality Recommendations”
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.
Here are 5 tips to understanding the OTC Market
Continue reading “5 Get Smart Tips on OTC Markets Compliance”
Cromwell Coulson
Matt Fuchs
Chris Grant
Laura Hamilton
Kristie Harkins
Liz Heese
Jason Paltrowitz
Bob Power
Cass Sanford
Dan Zinn
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