Category: Market Makers

SEC Expands Oversight with New Rules for Market Participants Acting as “Dealers” or “Government Securities Dealers”
SEC Expands Oversight with New Rules for Market Participants Acting as “Dealers” or “Government Securities Dealers”
  • Admin
  • Mar 21, 2024
The Securities and Exchange Commission (SEC) has taken a significant step in enhancing market integrity and transparency by introducing two new rules that mandate market participants undertaking key l....
Is the OTC Pink Tier Easy to Get Onto?
Is the OTC Pink Tier Easy to Get Onto?
  • Admin
  • Nov 15, 2023
Entering the OTC Pink Tier is not as straightforward as it might seem. For many companies, especially smaller startups, the Pink Tier represents an attractive option due to its relatively relaxed regu....

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