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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

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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