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.


Market Data

Blue Sky Compliance Data – Exemption Types & Data Transparency

Data Transparency is not simply about making more data available; it is about helping users, both business and technical, better understand a data set and use that information to improve processes and products across an organization.  This concept of “transparency” was a guiding factor in our development of the Blue Sky Compliance product. After analyzing our new data set and identifying additional areas for automation and process improvement, our latest blog delves deeper into  Exemption Type data and examines how users can leverage this data point to reduce complexity and increase automation.

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Blue Sky Compliance Data – Key Trends

An analysis of data produced by our new Blue Sky Compliance data product has yielded some compelling insight into the OTC equities market.  This latest blog highlights some of the more current trends and identifies additional areas for automation and process improvement.

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Understanding Short Sale Activity

Quality data is essential to well-functioning markets. Improving the availability, relevance and usefulness of data aligns with OTC Market Group’s mission to create better informed, more efficient financial markets.  In our experience, short selling remains one of the most highly-debated topics among academics, companies, investors, market makers and broker-dealers. As a market operator and company CEO, I believe it’s critical to address the misconceptions that still exist around short sale data and the correlation to a stock’s fundamental value.

Short selling, the sale of a security that the seller does not own, has long been a controversial practice in public markets.  Advocates for short selling believe it builds price efficiency, enhances liquidity and helps improve the public markets, while critics are concerned that it can facilitate illegal market manipulation and is detrimental to investors and public companies.  Given the diverse range of opinions and opposing views, we believe the first step is to take a deeper dive into the data and help separate out the noise.

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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

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