Advanced Data Analysis Helps Connect the Dots to Highlight the Nation’s Top Performing Community Banks
Continue reading “OTC Markets Group Top Performing Banks Report by Qaravan: 2Q 2019”
OTC Markets Group Garners Blue Sky Exemptions in 35 States
Since May 2016, we have fostered an active dialogue with constituents at the North American Securities Administrators Association (NASAA) and individual state regulators with the goal of providing investors, companies, brokers and other market participants with a defined regulatory structure that recognizes the transparent current disclosure provided by OTCQX and OTCQB companies. We appreciate the hard work and diligence of NASAA members as we work to achieve important exemptions for our OTCQX and OTCQB markets under state Blue Sky laws governing secondary trading. Continue reading “Blue Sky Recognition Continues to Gain Traction”
The small-cap equity market, which operates across listed and OTC venues, plays a vital role in the U.S. capital markets and economy. Companies gain access to capital and investors are able to take a stake in venture stage firms. Even though small-cap equities trade both over-the-counter and on the national exchanges, there is a perception that an exchange listing provides an air of legitimacy on a company. However, the truth is that investors and market professionals benefit from added due diligence when assessing and trading all small-cap stocks.
Continue reading “OTC Markets Group Introduces its Small Cap Listed Compliance Product”
Stock Promotion
Late last year, OTC Markets Group published a new Stock Promotion policy, along with Best Practices for public companies. These policies outline OTC Markets efforts to establish best standard practices, improve market transparency and better address the problem of fraudulent stock promotion. Continue reading “New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection”
Over the past 20 years, the reputation and recognition of the OTC markets has grown. Part of that positive transformation has come from technology, both at OTC Markets Group and from the broker-dealer community, that has fostered a vibrant, data-driven, electronic trading market. Continue reading “2018 Regulatory Initiatives & Targeted Rulemaking: Improving Transparency, Focusing on Market Efficiency”
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?”
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”
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”
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”
Cromwell Coulson
Matt Fuchs
Chris Grant
Laura Hamilton
Kristie Harkins
Liz Heese
Tony Hodson
Joe Oltmanns
Jason Paltrowitz
Bob Power
Cass Sanford
Dan Zinn
Guest Contributor
