Compliance Archives - Page 2 of 3 - OTC Markets Blog

Current Date:April 3, 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

Market Data

2020 Market Data Annual Review

Matt FuchsMarch 11, 2021

Regulatory & Compliance

FINRA Regulatory Notice 21-03 – Fraud Prevention – Low Priced Securities

Matt FuchsFebruary 24, 2021

Regulatory & Compliance

Blue Sky Compliance – Fixed Income

Matt FuchsJanuary 27, 2021

Market Data

Blue Sky Compliance Data – Exemption Types & Data Transparency

Matt FuchsNovember 11, 2020

Market Data

Blue Sky Compliance Data – Key Trends

Matt FuchsOctober 8, 2020

Market Data

Automating and Simplifying Blue Sky Data Compliance

Matt FuchsSeptember 24, 2020

Corporate Services

Today’s State of the Community Banking Market: Five Topics Being Discussed Among Bankers

Laura HamiltonJuly 15, 2020

Regulatory & Compliance

CBLR: A win for most, but time for the rest to move on

Tony HodsonJanuary 15, 2020

Market Data

By Putting UBPR and Call Reports Under the Microscope with Qaravan, Investors and Bank Stakeholders Can Gain Meaningful Insight Far Beyond Raw Data

Tony HodsonNovember 4, 2019

Market Data

OTC Markets Group Top Performing Banks Report by Qaravan: 2Q 2019

Tony HodsonSeptember 12, 2019