Category: Stock Exchanges

How Long Does it Take To Get an OTC Listing?
  • Admin
  • Jan 26, 2022
Companies that are having trouble getting listed on traditional stock exchanges might consider selling shares of their stock over the counter. Over the counter securities are traded on OTC Markets, th....
How Long Does it Take To Get a NASDAQ Listing?
  • Admin
  • Jan 26, 2022
If you are looking for a way to raise capital and increase the visibility of your company, you might be thinking about going public. There are multiple exchanges from which to choose, but one of the b....
An Overview of the Nasdaq Updated LAS Form
  • Admin
  • Jan 06, 2022
In September of this year, Nasdaq updated its LAS Form, which stands for the Listing of Additional Shares. NASDAQ also changed the process for reviewing such forms. What does this mean for companies l....
A Transfer Agent’s Role in an IPO
  • Admin
  • Dec 02, 2021
Are you planning on taking your company public? If so, there are several steps you need to follow during your initial public offering. You might also be wondering if you need to hire a transfer agent.....
How an Employee Stock Purchase Plan Functions
  • Admin
  • Nov 24, 2021
Benefit packages are crucial to attracting talented, high-level employees to a company. Basic things such as a 401(k), medical, and dental insurance are considered typical, so companies must do someth....
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 Become a Nasdaq Listed Company That You Can Be Proud of
  • Admin
  • Oct 05, 2021
The heads of successful Nasdaq companies have put in the work necessary to transition from a privately held company into one that is publicly held.  Though going public partially cedes control over t....
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....
Nasdaq Proposed Rule Changes To Its Discretionary Listing And Continued Listing Standards
  • Admin
  • Sep 17, 2020
On June 2, 2020, the Nasdaq Stock Market LLC filed a proposed rule change with the SEC to amend Rule IM-5101-1. The rule provides Nasdaq authority to deny or continue listing to a company but rules ou....
Covid-19 Relief Provided by NYSE, NASDAQ, OTC Markets
  • Admin
  • May 27, 2020
Recently, due to COVID-19, exchange listed companies have been struggling to comply with rules set forth for timely administration of annual shareholder meetings and SEC filings. Considering these sit....
NASDAQ Direct Listing Amendment
  • Admin
  • Feb 12, 2020
On December 3, 2019, the SEC approved NASDAQ’s proposal on extending direct listings. This means that companies will now be able to directly list securities on NASDAQ’s “Nasdaq Global Market”....
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....
Up-listing from an OTC to a National Exchange
  • Joshua Scofield
  • Oct 15, 2019
Listing on NASDAQ or NYSE can be a ticket to new growth for many companies. However, it is difficult to meet the listing requirements for such large national exchanges. Many businesses find that they ....
How to do a Reg A+ IPO on an OTC market
  • Joshua Scofield
  • Oct 01, 2019
Is your company is considering a public offering? Does it plan to trade on an over the counter (OTC) market? If so, you may consider a Regulation A+ (Reg A+) IPO. Reg A+ IPOs are relatively new, strea....
Shareholder Voting by Exchange
  • Joshua Scofield
  • Sep 04, 2019
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 cre....
OTC Markets Transfer Agent Verified Shares Program
  • Shelby Wayment
  • Dec 05, 2018
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 A....
OTC Markets’ New Stock Promotion Policy
  • Shelby Wayment
  • Nov 13, 2017
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, manip....