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, through an online alternative trading system (ATS) that includes broker-dealers and market makers. The biggest reason that companie
Category: NASDAQ
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 biggest options in the world is the NASDAQ. Even though many companies listed on the NASDAQ are tech companies, there are other ind
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 looking to list their shares for sale on the exchange?
Nasdaq Rule 5250
Nasdaq Rule 5250 covers a variety of rules and regulation
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. A transfer agent plays an essential role in any IPO. Taking your company public comes with new regulations and laws you need to f
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 the company to shareholders, there are countless reasons as to why listing on the Nasdaq makes sense. Let’s take a look at the
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 out certain factors. The proposed rule change will establish NASDAQ's position related to quality audits' importance by enhancing di
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 situations and the fact that many listed companies are facing the risk of not meeting the continued listing standards, the SEC and ex
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” and “Nasdaq Capital Market” in addition to “Nasdaq Global Select Market”, which was already eligible for direct listing.
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 simply have no hope of premiering on such markets after their IPOs. For those companies, there are OTC markets. OTC markets are or
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 Ne