The events of 2020 have raised plenty of compliance issues within the equity markets including the explosion of retail activity, day-to-day event driven volatility and the influx of COVID-19/health care sector securities. They have also highlighted an issue that has often been overlooked during more sanguine markets – the large number of ‘Low Priced Securities’ (LPS) on U.S. exchanges. Continue reading “Quantifying Listed Low Price Security Risk – Small Cap Compliance Risk Scoring”
It is a common misconception that going public on the Pink market is a low cost, efficient way to gain visibility for your company, and in turn, establish liquidity. However, when you dig a little deeper, you find that cheaper is not always better and that it can add substantially more cost in the long run. Regardless of your goals in the public markets, there are key factors including transparency, public perception and tradability that should be considered when evaluating your options. Continue reading “Before You Go Public on Pink”
Over the last ten years, private investors with significant personal wealth have grown in their prominence as a bona fide investor class. Unburdened by the mandates and time constraints of a typical private equity fund, these investors have also become a highly coveted resource for growing companies. Regardless of their AUM, location, generational heritage or industry focus, you can rest assured that these investors want to invest not only from their pocketbooks but also from their experience. Our firm works with a large and growing number of family offices interested in high-quality, curated deal flow and is frequently counseling issuers on how to present themselves to family offices. In this post we will cover the basics of a family office, their motivations for investing and how they write checks in cash and experience. Continue reading ““What Attracts a Family Office to Your Offering?””
In my most recent blog post, Capital Raising During Times of Uncertainty—Issuers Beware!, I discussed the issues facing small and micro-cap companies as they confront critical funding issues and the heightened need to secure growth capital. The companies that do all the right things and provide quality disclosure deserve a public market that provides a mechanism for investment funding to keep their businesses going. However, some may still fall victim to bad actors. We cautioned issuers to beware of “too good to be true” financings with terms that dump shares, dilute shareholder value and destroy companies. Continue reading “Investors Be Alert—“Penny Stocks” Can also Trade on Exchanges”
The SEC’s proposed amendments to Rule 15c2-11 focus on ways to incentivize additional company disclosure in the public markets. While we strongly support the overall goals of the proposed amendments to increase information availability for investors, we are mindful that this rule has far reaching implications that will reduce market efficiency in certain areas. Continue reading “Exploring the Investor Impact of an SEC Rule Proposal”
As the public market for thousands of early stage and growth companies, OTC Markets Group has seen the good, the hard and the plain ugly when it comes to what happens after a capital raising. Even in the best of economic times, issuers often fall prey to bad advisors offering “too good to be true” financings with terms that dump shares, dilute shareholder value and destroy companies. Continue reading “Capital Raising During Times of Uncertainty — Issuers Beware!”
Jason Paltrowitz’s Interview with Edison’s
“Accessing the Global Capital Markets” Interview Series
EVP of Corporate Services for OTC Markets Group, Jason Paltrowitz joins Rachel Carroll – President, Managing Partner of Edison, to discuss our market structure and how OTC Markets Group provides an efficient, cost effective approach to accessing the U.S. Capital Markets. With over 20 years of cross-trading experience, Jason also provides recommendations to small cap companies looking to access the U.S. Capital Markets.
Continue reading “OTC Markets Fundamentals”
OTC Markets is pleased to announce the 2020 OTCQX Best 50 – an annual list of the top 50 U.S. and international companies traded on the OTCQX Best Market. This year’s roster of industry leaders demonstrates the breadth, depth and diversity of the companies that trade on our premium market. Continue reading “The Results are in… Congratulations to the 2020 OTCQX® Best 50”
When the fundamentals of Investor Relations – telling a compelling story to the right investors – are upheld, the results can be extremely positive. However, it can be difficult for small and microcap companies to properly resource IR given that their smaller teams are often tasked with multiple responsibilities. Continue reading “Rising Above with a Winning IR Strategy”
