The Role of Transfer Agents in OTC Markets Compliance
In the OTC Markets ecosystem, transfer agents play a critical — yet often overlooked — role in ensuring compliance, shareholder transparency, and…
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Uplisting from OTC Markets to Nasdaq or NYSE
Uplisting from the OTC Markets to Nasdaq or NYSE American represents a pivotal transition for emerging companies seeking greater liquidity, institutional visibility,…
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When Short Sellers Hit OTC Markets Stocks – Securities Lawyer 101
Short selling — the sale of borrowed shares with the expectation of repurchasing them later at a lower price — plays a…
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OTC Markets Direct: Sponsoring Market Makers Bypassed Under Rule 15c2-11
Learn how issuers can go public on the OTC Markets without a sponsoring market maker under SEC Rule 15c2-11. Hamilton & Associates…
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SEC Takes Action to Curb Skyrocketing Costs of Consolidated Audit Trail
The CAT, mandated by Rule 613 of Regulation NMS following the 2010 Flash Crash, was intended to enhance market surveillance by creating…
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Rule 144 Resales of Restricted Securities of Shell Companies and Former Shell Companies
Rule 144(i): The Restriction on Shell Company Resales - What Stockholders and Issuers need to know.
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Direct Public Offerings in 2025
A Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…
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Navigating Corporate Governance: Requirements for Nasdaq and NYSE Companies
If you're eyeing a listing on the New York Stock Exchange (NYSE) or Nasdaq Stock Market (Nasdaq), you'll need to align your…
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Navigating SEC Disclosures: Director and Executive Officer Information
Item 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…
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