Regulatory & Compliance – OTC Markets Blog

Current Date:May 12, 2021

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

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

Regulatory & Compliance

Transforming the OTC Markets

Cass SanfordJanuary 26, 2021

Regulatory & Compliance

Quantifying Listed Low Price Security Risk – Small Cap Compliance Risk Scoring

Matt FuchsJuly 22, 2020

Regulatory & Compliance

Investors Be Alert—“Penny Stocks” Can also Trade on Exchanges

Jason PaltrowitzMay 18, 2020

Regulatory & Compliance

Are CRE Concentrations Still a Financial Crisis Prognosticator?

Tony HodsonMarch 17, 2020

Regulatory & Compliance

Key Takeaways From Regulators’ Recent CECL Final Policy Statement

Tony HodsonMarch 5, 2020

Regulatory & Compliance

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

Tony HodsonJanuary 15, 2020