Compliance Archives - OTC Markets Blog

Current Date:April 6, 2026

Latest commentary on Market Structure, Compliance, Small Cap and Reg A+ issues, including insights on the news and trends that affect the public markets.

Compliance

Building the Benefits of America’s Public Markets

Cromwell CoulsonDecember 16, 2025

Q3 2025 Promotions and Deficiencies

Market Data

Q3 2025 Compliance Snapshot: Promotions & Deficiencies

Matt FuchsOctober 22, 2025

Q2 Listed and OTC Promotions and Deficiencies

Market Data

Q2 2025 | Notional Volume remains elevated for Promoted & Deficient Listed Securities

Matt FuchsJuly 15, 2025

Regulatory & Compliance

OTC Markets Group Discusses the Creation of OTCID

Jason PaltrowitzDecember 3, 2024

Market Data

Over $80 BN traded YTD in Promoted US Small Cap Listed Securities

Matt FuchsOctober 24, 2024

Corporate Services

An Investor’s Guide: Common Issues with Company Disclosure

Liz HeeseDecember 15, 2021

Regulatory & Compliance

Amended SEC Rule 15c2-11 Impact | A more transparent, global OTC Markets

Matt FuchsOctober 15, 2021

Regulatory & Compliance

OTC Markets Group Answers Frequently Asked 2-11 Rule Change Questions

Jason PaltrowitzJuly 1, 2021

Regulatory & Compliance

Holistic OTC Equity Compliance – Risk Scoring, Red Flags & Blue Sky

Matt FuchsApril 21, 2021

Regulatory & Compliance

Understanding the Expert Market

Cass SanfordMarch 25, 2021