The U.S. Securities Exchange Act of 1932 (the “Act“) include an exemption for a foreign private issuer (“FPI“) meaning a listed, non-U.S. company from having to register a class of equity securities with the Securities and Exchange Commission (“SEC“) as otherwise required by the Act. In this blog, you will find the solution on how FPIs can gain access to the world’s largest capital market –U.S. institutional and private investors – without the cost and complexity of an IPO (e.g. at the NYSE or on Nasdaq) and thereby save time and money.Continue reading “The Solution for European Companies to Access U.S. Investors”
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.Continue reading “Blue Sky Compliance Data – Exemption Types & Data Transparency”
OTC Markets Group continues to develop products and solutions that make our markets more transparent, efficient and cost-effective for our issuers, market participants and investors. We are therefore excited to announce the launch of our new Blue Sky Compliance data service.Continue reading “Automating and Simplifying Blue Sky Data Compliance”
In 2019, we welcomed nearly 200 companies to our OTCQX and OTCQB Markets, moved into new offices in New York and London, and launched our Virtual Investor Conference platform. As we look ahead to the rest of the year, we review key milestones in our ongoing mission to provide companies with more efficient solutions to better engage and inform investors. Continue reading “2019 Mid Year Review”
The SEC recently published a paper on OTC equity securities on their website. While I am always happy to see more research around OTC equities, I am surprised by the paper’s overly negative and misinformed conclusions about the growth in OTC dollar volumes. Continue reading “Addressing the SEC White Paper on OTC Equities”
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”
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.