Category: Stock Exchanges

EDT
In addition to federal and state corporate law, companies which trade on public markets are also subject to institutional regulation. In other words, your publicly-traded company must follow rules created by the exchange on which you trade. It is simply the price of playing ball. The most relevant exchanges are NASDAQ and the New York […]
EDT
Beginning January 19, 2019, OTC Markets will begin to require all U.S. OTCQB and OTCQX companies to give verified share data through the services of a transfer agent participating in their Transfer Agent Verified Shares Program. Through their program, transfer agents can provide regular and up-to-date information on a company’s authorized and outstanding shares. Transfer agents […]
EDT
On November 7th, the OTC Markets Group released a new stock promotion policy. This policy aims to improve the overall market transparency for investors, while addressing the issue of misleading, manipulative, or fraudulent stock promotion. Market Transparency and Fraudulent Promotional Campaigns The wide use of digital media has allowed companies to interact and reach investors […]
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EDT
A transfer agent is a third party financial institution that is appointed by a corporation, mutual fund or other organization to act as the master securityholder recordkeeping agent and perform any transactions that may affect the securities and/or shareholders for that company. Transfer agents primary tasks include the issuance and cancellation of stock/security certificates, stock […]
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EDT
On June 17, 2016 the SEC approved IEX as a national stock exchange. The approval marks the first time since July 2013 that the SEC has sanctioned a new trading exchange. What is IEX? IEX stands for Investors’ Exchange and is a national stock exchange designed to slow down trades used by high-frequency traders in […]