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Category: OTC Markets

Up-listing from an OTC to a National Exchange

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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 […]
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How to do a Reg A+ IPO on an OTC market

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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, streamlined, micro-IPO’s. They are different from traditional IPOs in that they are size-restricted, and have fewer regulations. There […]
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OTC Markets Transfer Agent Verified Shares Program

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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 […]
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OTC Markets’ New Stock Promotion Policy

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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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What is a Transfer Agent?

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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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