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OTC Markets Blog

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

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Compliance

OTC Markets Group Top Performing Banks Report by Qaravan: 2Q 2019

Advanced Data Analysis Helps Connect the Dots to Highlight the Nation’s Top Performing Community Banks

Continue reading “OTC Markets Group Top Performing Banks Report by Qaravan: 2Q 2019”

Blue Sky Recognition Continues to Gain Traction

OTC Markets Group Garners Blue Sky Exemptions in 35 States

Since May 2016, we have fostered an active dialogue with constituents at the North American Securities Administrators Association (NASAA) and individual state regulators with the goal of providing investors, companies, brokers and other market participants with a defined regulatory structure that recognizes the transparent current disclosure provided by OTCQX and OTCQB companies.  We appreciate the hard work and diligence of NASAA members as we work to achieve important exemptions for our OTCQX and OTCQB markets under state Blue Sky laws governing secondary trading. Continue reading “Blue Sky Recognition Continues to Gain Traction”

A Conversation with Qaravan Founder Tony Hodson

OTC Markets Group recently announced the acquisition of QaravanSM Inc., a leading provider of innovative  software and risk & performance analytics tailored to the banking industry.

We sat down with Tony Hodson, now the Senior Vice President of Market Data at OTC Markets Group, to learn more about how bank data and analytics have evolved over time. Continue reading “A Conversation with Qaravan Founder Tony Hodson”

CECL: Unpaved Road Ahead

The Genesis/Birth of CECL

After the 2008 financial crisis, much of the focus on the regulation of financial institutions shifted to mitigating systemic risk. This included an increased focus on stress testing and the recapitalization of institutions—both intended to help ensure solvency and insulate the global economy from further erosion. Continue reading “CECL: Unpaved Road Ahead”

Community Bank Regulations Should Foster Main Street Growth

Banking regulation tends to be a partisan issue, but there’s one thing lawmakers are certain to agree on: America’s community banks are the backbone of the country’s economy.

Community banks serve a unique purpose. These institutions make over half of all U.S. small business loans, providing capital to entrepreneurs seeking to start businesses, and the financing needed for local businesses to grow. They provide jobs, help families buy homes and serve as the financial core for communities nationwide.  Continue reading “Community Bank Regulations Should Foster Main Street Growth”

OTC Markets Group Introduces its Small Cap Listed Compliance Product

The small-cap equity market, which operates across listed and OTC venues, plays a vital role in the U.S. capital markets and economy.  Companies gain access to capital and investors are able to take a stake in venture stage firms. Even though small-cap equities trade both over-the-counter and on the national exchanges, there is a perception  that an exchange listing provides an air of legitimacy on a company. However, the truth is that investors and market professionals benefit from added due diligence when assessing and trading all small-cap stocks.

Continue reading “OTC Markets Group Introduces its Small Cap Listed Compliance Product”

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

Stock Promotion

Late last year, OTC Markets Group published a new Stock Promotion policy, along with Best Practices for public companies.  These policies outline OTC Markets efforts to establish best standard practices, improve market transparency and better address the problem of fraudulent stock promotion. Continue reading “New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection”

Shell Game

During conversations with compliance and risk departments over the past year, the topic of shell companies always comes up.  For diligent compliance officers the reason for this focus is obvious, shell companies and more specifically trading with their affiliates are noted specifically in key notices and regulations, including: Continue reading “Shell Game”

5 Get Smart Tips on OTC Markets Compliance

The OTC equity market can seem overwhelming – with so many securities and data points to track, many compliance professionals are at loss for where to start.  The good news is you are not alone.

Here are 5 tips to understanding the OTC Market

Continue reading “5 Get Smart Tips on OTC Markets Compliance”

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