Regulatory & Compliance – Page 2 – OTC Markets Blog

Current Date:April 22, 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

CECL is Coming: Here’s How Bank Stakeholders Can Anticipate Its Impact While Making Their Voices Heard

Tony HodsonNovember 21, 2019

Regulatory & Compliance

CECL: Unpaved Road Ahead

Tony HodsonJune 3, 2019

Regulatory & Compliance

OTC Markets Group Introduces its Small Cap Listed Compliance Product

Chris GrantJanuary 28, 2019

New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection

Regulatory & Compliance

New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection

Liz HeeseMay 1, 2018

Regulatory & Compliance

2018 Regulatory Initiatives & Targeted Rulemaking: Improving Transparency, Focusing on Market Efficiency

Cass SanfordApril 26, 2018

Why Can’t I Deposit my Shares? Issues facing small cap issuers.

Regulatory & Compliance

Why Can’t I Deposit my Shares?

Jason PaltrowitzApril 9, 2018

Regulatory & Compliance

OTC Markets Group Establishes A Stock Promotion Policy

Guest ContributorDecember 6, 2017

Regulatory & Compliance

Shining a Light on Stock Promotion… New Policy + Best Practices = Enhanced Market Transparency

Liz HeeseNovember 28, 2017

Regulatory & Compliance

Corporate Governance Rules of the Road

Guest ContributorJune 26, 2017

Regulatory & Compliance

Stock Promotion – Context, Concerns & Potential Solutions

Matt FuchsMay 26, 2017