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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.
FINRA Rule 6490 authorizes the Financial Industry Regulatory Authority (FINRA) to review, delay, or refuse to process corporate actions for companies…
Read MoreFor issuers seeking to have their securities quoted on the OTC Markets, the submission and clearance of Form 211 by a…
Read MoreThis article details the Supreme Court petition in Xeriant, Inc. v. Auctus Fund, LLC, which challenges a Second Circuit opinion regarding Section…
Read MoreInitial listing requirements are the gatekeepers of the public markets. They calibrate who may access exchange‑based liquidity by aligning financial strength,…
Read MoreThe critical role of OTC Markets in facilitating secondary offerings and resales of restricted and control securities under SEC Rule 144. This…
Read MoreThis question-and-answer guide covers the legal and regulatory requirements for Nasdaq-listed companies holding their annual stockholder meetings. The article focuses on the…
Read MoreThe article explains the OTC Markets Group's multi-tiered disclosure framework, which categorizes companies traded on the over-the-counter (OTC) electronic quotation system. The…
Read MoreThis article discusses reverse mergers and the crucial need for post-merger compliance to ensure trading eligibility on OTC Markets. A reverse merger,…
Read MoreFor many retail investors, trading or depositing shares of OTC-traded companies is challenging. A significant number of brokerage firms impose restrictions—driven by…
Read MoreSEC Rule 12g3-2(b) offers a streamlined exemption for foreign private issuers to gain U.S. market visibility and access U.S. investors by qualifying…
Read MoreThis article provides a comprehensive guide to due diligence for investors interested in OTC IPOs and Pre-IPO Shares, emphasizing the high-risk nature…
Read MoreA Direct Public Offering (DPO) on the OTC Markets allows private companies to achieve public tradability and liquidity for existing shareholders without…
Read MoreThe article explains how public companies quoted on OTC Markets must handle corporate actions—such as name or symbol changes, stock splits, mergers,…
Read MoreThis article explains how issuers are downgraded to the OTC Markets Expert Market after losing quotation eligibility under SEC Rule 15c2-11, how…
Read MoreThis article from Hamilton & Associates Law Group explores liquidity and price discovery on the OTC Markets, highlighting their unique operations compared…
Read MoreOn July 1, 2025, OTC Markets Group replaced its Pink Current Information tier with the OTCID Market, a modernized disclosure platform aligned…
Read MoreLearn the 2025 website requirements and best practices for SEC-reporting OTC Markets issuers (OTCQX, OTCQB, OTCID). Ensure compliance with Regulation FD, SEC…
Read MoreCanadian public companies can reach U.S. investors by dual listing on OTC Markets through the Multijurisdictional Disclosure System (MJDS). Eligible issuers may…
Read MoreCrypto and blockchain issuers seeking OTC Markets quotation must comply with SEC Rule 15c2-11 by providing transparent disclosures on token operations, financials,…
Read MoreThis article discusses the risks and consequences of toxic convertible financing, also known as "death spiral financing," for small and emerging companies…
Read MoreThis article from Hamilton & Associates Law Group compares the three main tiers of the OTC Markets Group—OTCQX, OTCQB, and OTCID (formerly…
Read MoreForm S-1 vs. Form S-3 — Eligibility, Disclosure Items & Incorporation by Reference (2025 Guide). Compare SEC Forms S-1 and S-3: who…
Read MoreSEC Confidential Treatment Requests — How to Protect Sensitive Business Information (2025 Guide) Learn when and how to request confidential treatment from…
Read MoreThe ultimate guide to uplisting from OTC Markets to Nasdaq or NYSE. Learn the strategic path, compliance milestones, and 'Corporate Cleanup' necessary…
Read MoreFor many retail investors, buying or depositing shares of OTC-traded companies is far harder than it appears. Even when a security displays…
Read MoreThe OTC Markets can serve as either a launchpad to major exchanges or a dead end, depending on issuer transparency, governance, and…
Read MoreThe document outlines common disclosure deficiencies that lead to OTC Markets suspending or downgrading issuers under Rule 15c2-11, which requires current, publicly…
Read MoreThe 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 MoreExplore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.
