Search

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.

Tag

Regulation

OTC Markets Group Establishes A Stock Promotion Policy

By Laura Anthony | Legal & Compliance, LLC

As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion policy and best practices guidelines to improve investor transparency and address concerns over fraudulent or improper stock promotion campaigns. Continue reading “OTC Markets Group Establishes A Stock Promotion Policy”

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”

What it means to be a Venture Market

Public venture markets play a vital role in fostering capital formation and driving growth for early stage companies.  Just look at the London Stock Exchange’s AIM market, which since its launch has served over 3,600 venture stage companies, or the Toronto Stock Exchange’s TSX Venture Exchange that supports growing companies from the mining and energy sectors. Continue reading “What it means to be a Venture Market”

Up ↑