Category: OTC Markets

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....
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....
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....
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....
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....
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....
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....
OTCQB Proposed Standard Changes Allow Regulation A Listing
  • Dan Carter
  • Jun 22, 2015
Proposed Amendments Would Allow Regulation A Tier 2 Offerings for Listing on OTCQB The SEC's amendments to Regulation A of the Securities Exchange Act became effective on 6-19-2015. If all requiremen....