Category: 15c2-11 Application

OTC Markets 15c211 Guidelines Updates
  • Admin
  • Oct 27, 2021
Changes to the SEC Rule 15c2-11 went into effect on September 28, 2021. The new rules address amended 15c2-11 application requirements, requirements for public disclosure of information before quotin....
How to Beat the Fear of a Stock Market Crash for Public Companies
  • Admin
  • Sep 30, 2021
Overview The Stock Market as we know it has existed for over 100 years with an average of 12% gain over a 10-year period.  These kinds of numbers are prime for those who hold onto their investments ....
OTC Markets Taking Over 15c2-11 Application Process in September 2021
  • Admin
  • Mar 10, 2021
In September 2020, the SEC amended Rule 15c2-11 to enhance the OTC Market's efficiency and facilitate capital formation for issuers. We published an article outlining all the details here. OTC Mark....
SEC Adopts Final Rule to Amend 15c2-11 and Listing Standards for OTC Non-Reporting and Shell Companies
  • Admin
  • Sep 22, 2020
On Sept. 16, 2020, the SEC adopted amendments to Exchange Act Rule 15c2-11 directing broker-dealers not to publish security quotations in the absence of issuer's current information, subject to certai....
Proposal to Amend Rule 15c2-11 and De-listing of OTC Non-Reporting and Shell Companies
  • Dan Carter
  • Jan 31, 2020
The Securities and Exchange Commission recently released a sweeping proposal to amend Rule 15c2-11 and provide a pathway to de-list currently trading OTC securities that are delinquent in their financ....
OTCQX Rule Changes
  • Admin
  • Jan 14, 2020
Effective December 12, 2019, the OTCQX rules to list and maintain a company on the OTCQX have been modified. The OTCQX listing holds the highest level of entry compared to its kinship with other m....
FINRA Aims to Change Three Financial Rules
  • Eric Mellmer
  • Jun 05, 2017
On April 12, 2017, the Financial Industry Regulatory Authority (FINRA) published three regulatory notices proposing amendments to three of their rules regarding capital formation, corporate financing,....
OTC Pink Alternative Reporting Issuers May Now Qualify for the OTCQB Venture Market
  • Shelby Wayment
  • Apr 01, 2017
OTC Markets recently announced that OTCQX companies that currently utilize the Alternative Reporting Standard (ARS) may be eligible to trade via the OTCQB Venture Market if they meet a certain tempora....