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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.
The OTC Markets Alternative Reporting Standard outlines disclosure requirements for non-SEC-reporting issuers on OTCIQ, including annual and quarterly reports, officer certifications, and…
Read MoreThe SEC’s Rule 15c2-11 “Current Information” standard is the foundation of OTC Markets compliance. It requires that broker-dealers may publish or maintain…
Read MoreThe OTC Markets Expert Market is a restricted trading tier created under the SEC’s 2021 Rule 15c2-11 amendments, allowing only broker-dealers and…
Read MoreThe have intensified enforcement in the OTC Markets. The focus has shifted sharply toward broker-dealer gatekeeper obligations, fraudulent stock promotions, and manipulative…
Read MoreOTC Markets’ Stock Promotion Policy governs any public communication—press releases, newsletters, videos, email blasts, or social-media posts—that could influence trading activity or…
Read MoreIssuers may now work directly with OTC Markets through its OTCIQ Portal, bypassing the sponsoring market maker while maintaining full compliance under…
Read MoreThe U.S. Securities and Exchange Commission (SEC) is preparing to formalize a long-discussed “innovation exemption” by the end of 2025, according to…
Read MoreIn the OTC Markets ecosystem, transfer agents play a critical — yet often overlooked — role in ensuring compliance, shareholder transparency, and…
Read MoreUplisting from the OTC Markets to Nasdaq or NYSE American represents a pivotal transition for emerging companies seeking greater liquidity, institutional visibility,…
Read MoreShort selling — the sale of borrowed shares with the expectation of repurchasing them later at a lower price — plays a…
Read MoreLearn how issuers can go public on the OTC Markets without a sponsoring market maker under SEC Rule 15c2-11. Hamilton & Associates…
Read MoreThe U.S. Securities and Exchange Commission’s Office of Inspector General (OIG) has released a critical audit evaluating how the Division of Corporation…
Read MorePublished: October 6, 2025 In a landmark decision that could alter the balance of power in U.S. capital markets, the Texas Stock…
Read MoreIn its “Operations Plan Under a Lapse in Appropriations and Government Shutdown,” the SEC lays out with surprising candor the bare-bones framework…
Read MoreThe CAT, mandated by Rule 613 of Regulation NMS following the 2010 Flash Crash, was intended to enhance market surveillance by creating…
Read MorePrepared by Hamilton & Associates Law Group, P.A. www.securitieslawyer101.com Introduction Restricted and control securities are common in private placements, employee compensation, and…
Read MoreRule 144(i): The Restriction on Shell Company Resales - What Stockholders and Issuers need to know.
Read MoreCompany shareholders, whether employees, founders, or early investors, are increasingly looking to secondary marketplaces like Forge Global, Nasdaq Private Market (NPM), and…
Read MoreDeep-Sea Mining and Capital Markets As demand surges for strategic minerals like nickel, cobalt, manganese, and rare earths, deep-sea mining firms are…
Read MoreOn September 29, 2025, the U.S. Securities and Exchange Commission (SEC) issued back-to-back trading suspensions for two foreign issuers listed on the…
Read MoreYesterday, Bollinger Innovations Inc. (BINI) (formerly Mullen Automotive, Inc. (MULN)) announced a 1:250 reverse stock split, effective Monday, September 22, 2025, in…
Read MoreIn securities law, determining whether someone is an affiliate can impact everything from the resale of shares to a company’s qualification for…
Read MoreWhen it comes to the resale of securities, few areas of securities law generate as much scrutiny as those involving shell companies.…
Read MorePresident Donald Trump has revived an idea he first floated during his earlier administration: doing away with quarterly reporting requirements for U.S.…
Read MoreA Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…
Read MoreOn September 3, 2025, Nasdaq unveiled proposed updates to its listing standards, designed to strengthen investor protections and enhance market integrity. The…
Read MoreAs a public company in the U.S., staying on top of your SEC reporting obligations under the Securities Exchange Act of 1934…
Read MoreA federal appeals court has ordered the Securities and Exchange Commission to take a fresh look at the economic impact of its…
Read MoreFor public companies in the U.S., the audit committee plays a critical role in maintaining investor confidence and ensuring accountability. Audit committees…
Read MoreIn 2023 and 2024, Florida lawmakers overhauled Chapter 517, the Florida Securities and Investor Protection Act, ushering in a new era for…
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