Regulatory & Compliance Archives - OTC Markets Blog

Current Date:February 7, 2023

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

Regulatory & Compliance

SEC Rule 15c2-11

Regulatory & Compliance

The SEC Strengthened Markets a Year Ago. What’s Next?

Cromwell CoulsonOctober 20, 2022

Regulatory & Compliance

A New Proposal for Crypto Regulation: It’s Time to Dot the “I’s” and Create Regulatory Clarity for Crypto Investors

Cromwell CoulsonAugust 11, 2022

margin eligibility

Regulatory & Compliance

Extending Margin Eligibility to OTCQX Stocks

Cass SanfordJuly 1, 2022

Regulatory & Compliance

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

Matt FuchsOctober 15, 2021

Regulatory & Compliance

OTC Markets: Rule 15c2-11 Amendments FAQs

Jason PaltrowitzJuly 16, 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

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