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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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Compliance

Why Can’t I Deposit my Shares?

Issues Facing Small Cap Issuers

As the market operator where thousands of small and micro-cap securities trade, we occasionally hear from issuers and their investors who are frustrated when brokers won’t deposit their stock. While this is generally perceived to be an OTC issue, the reality is that this affects privately issued shares on all public markets, including national exchanges. Continue reading “Why Can’t I Deposit my Shares?”

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. Continue reading “OTC Markets Group Establishes A Stock Promotion Policy”

Shining a Light on Stock Promotion… New Policy + Best Practices = Enhanced Market Transparency

The increased proliferation of digital platforms, social media and online investment newsletters can offer today’s public companies and investor relations professionals more immediate access to engage with a broader universe of potential investors. Continue reading “Shining a Light on Stock Promotion… New Policy + Best Practices = Enhanced Market Transparency”

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”

Stock Promotion – Context, Concerns & Potential Solutions

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”

Shell Game

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”

Quality Recommendations

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”

5 Get Smart Tips on OTC Markets Compliance

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”

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