Current Date:March 23, 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.

Compliance

Corporate Services

An Investor’s Guide: Common Issues with Company Disclosure

Liz HeeseDecember 15, 2021

Regulatory & Compliance

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

Matt FuchsOctober 15, 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

Market Data

2020 Market Data Annual Review

Matt FuchsMarch 11, 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

Market Data

Blue Sky Compliance Data – Exemption Types & Data Transparency

Matt FuchsNovember 11, 2020

Market Data

Blue Sky Compliance Data – Key Trends

Matt FuchsOctober 8, 2020