OTC Markets Listing Requirements 2026
OTC Markets Listing Requirements 2026: How to List on OTCQX, OTCQB or OTCID Companies seeking an OTC Markets quotation in 2026 must…
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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
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SEC Creates New Financial Reporting and Accounting Unit: What Public Companies and Auditors Need to Know
On August 5, 2026, the Securities and Exchange Commission announced the creation of a specialized Financial Reporting and Accounting Unit within its…
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Nasdaq’s $5 Million MVLS Rule Automatically Stayed After Petitions for SEC Review
The July 22, 2026 order approving Nasdaq’s new $5 million Market Value of Listed Securities continued-listing standard has been automatically stayed after…
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Short-and-Distort Campaigns — The Dark Side of Short Selling
Short selling is a lawful and valuable component of market efficiency. It provides liquidity, supports price discovery, and uncovers fraud. But when…
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Uplisting to Nasdaq: When “Helping” the Stock Price Becomes Market Manipulation
Nasdaq Uplisting Requirements, Undisclosed Lockups, Manufactured Public Float, Matched Trading and Misleading Listing Applications An uplisting from the OTC Markets to the…
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Received a Nasdaq Delisting Notice? How Public Companies Can Regain Compliance and Avoid Trading Suspension
Nasdaq-listed companies now face an additional and potentially unforgiving continued listing requirement. Under the SEC-approved rule, a company whose Market Value of…
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Nasdaq’s New $5 Million Market Value Requirement: How MVLS Is Calculated and When Companies Face Delisting
The Securities and Exchange Commission has approved a new Nasdaq continued listing requirement that may lead to the rapid suspension and delisting…
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TMC, NORI and TOML Challenge the ISA: Due Process, Contract Rights and the Future of Deep-Sea Mining
The first contentious proceedings ever brought against the International Seabed Authority have placed the rights of deep-sea mining contractors, the limits of…
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BOEM’s Deep-Sea Mining Bidding Process and the Proposed American Samoa Offshore Minerals Auction
BOEM Moves Toward a Historic Seabed Minerals Lease Sale The Bureau of Ocean Energy Management has taken a significant step toward holding…
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OTC MARKETS GUIDE TO CURING SEC FILING DELINQUENCY AND EXITING THE OTC EXPERT MARKET
An SEC-reporting company placed on the OTC Markets Expert Market ordinarily has two distinct problems. First, it must cure its delinquent reporting…
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Could the SEC Suspend Alibaba, Baidu, NIO and Other Chinese Military-Linked Stocks?
Lawmakers seek ticker warnings and 10-business-day trading suspensions, but a temporary SEC suspension can become a practical death sentence for a stock.…
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SEC Considers Weekly Short-Interest Reporting and Greater Transparency for Failures to Deliver
The Securities and Exchange Commission is considering a FINRA proposal that would significantly modernize the public reporting of short interest in U.S.…
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Happy City Holdings (HCHL) SEC Trading Suspension: Inside the Nasdaq Pump-and-Dump Pattern and the WhatsApp Stock Promotion Playbook
Updated July 15, 2026 | SEC trading suspensions, Nasdaq microcap fraud, WhatsApp stock scams When the Securities and Exchange Commission suspended trading…
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SEC Requires Activist Hedge Funds to Disclose Campaign Backers
New SEC guidance increases transparency in shareholder activism and proxy contests By Brenda Hamilton, Securities and Going Public Lawyer | Current through…
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Exchange Act Rule 12g3-2(b): How Foreign Issuers Access U.S. OTC Markets Without Becoming SEC Reporting Companies
Foreign companies frequently want access to U.S. investors without the time, cost and regulatory burden of becoming full SEC reporting companies. For…
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OTCQX Listing Requirements for Foreign Issuers in 2026
A comprehensive guide to OTCQX International eligibility, quotation, Rule 15c2-11, Form 211 and ongoing compliance under the April 6, 2026 V11 rules Current through…
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How Will an Issuer Know if a FINRA Rule 6490 Company-Related Action Was Processed or Found Deficient?
Submission status is only the beginning After a company-related action request is submitted, FINRA may assign a case number or provide electronic…
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Which Company-Related Actions Require a Fee Under FINRA Rule 6490?
Fee categories under Rule 6490 FINRA Rule 6490 identifies specific fees for processing certain corporate action notifications and related requests. The most…
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Loose Lips Sink Ships (and IPOs) – SEC Quiet Period
Once a company decides to go public, what it says — and where, when, and to whom it says it — comes…
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Talk Is Cheap — Until It Tanks Your IPO: A Guide to IPO Communications and the Quiet Period
Quick answer: what can an issuer say during the IPO quiet period? An issuer can usually continue factual, ordinary-course business communications during…
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Reverse Stock Splits for Nasdaq-Listed Companies
A Practical Guide for Issuers, Boards, Counsel, Transfer Agents and Practitioners Under Amended Nasdaq Rule 5250(e)(7) Current through June 18, 2026. Nasdaq-listed…
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Nasdaq Definitions Under Listing Rule 5005: Key Terms Issuers Should Know Before Applying to List
Nasdaq listing analysis often begins with financial standards, bid price, public float, shareholder counts and corporate governance. But those standards cannot be…
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When Is an Issuer Considered to Have Provided Notification to FINRA Under Rule 6490?
Internal approval is not the same as a FINRA notice An issuer is generally considered to have provided notification when it submits…
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MD&A Plan of Operations: SEC Disclosure Guide for Public Companies
Management’s Discussion and Analysis of Financial Condition and Results of Operations, commonly referred to as MD&A or MDA, is one of the…
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Guide to Preparing SEC Form S-1 – A Comprehensive Step-by-Step Overview for Companies Going Public
A Form S-1 registration statement is the central disclosure document used by many companies that want to register securities with the Securities…
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When Must an Issuer Notify FINRA of a Company-Related Action Under Rule 6490?
The deadline depends on the action FINRA Rule 6490 separates actions into two broad categories. The first category is an SEA Rule…
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Where Can Issuers Find More Information About FINRA Rule 6490?
Start with the official rule text Issuers looking for information about FINRA Rule 6490 should begin with the current text of FINRA…
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Nasdaq Compliance: Capital Market Listing Requirements, Corporate Governance and Uplisting Strategy
Why Nasdaq compliance matters A Nasdaq listing can be a major milestone for a public company. It can increase market visibility, broaden…
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FINRA Rule 6490: Corporate Actions for OTC Public Companies, Explained
Why Rule 6490 Matters FINRA Rule 6490 is one of the most important rules for public companies whose securities trade over…
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Who Handles IPO Marketing? Understanding the Rules for Promoting a Registered Public Offering
Marketing an initial public offering is not the same as marketing an ordinary product launch. In a U.S.-registered IPO, every communication about…
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