Common Disclosure Deficiencies Leading to OTC Markets Suspension
The document outlines common disclosure deficiencies that lead to OTC Markets suspending or downgrading issuers under Rule 15c2-11, which requires current, publicly…
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Annual and Quarterly Reporting Under the OTC Markets Alternative Reporting Standard
The OTC Markets Alternative Reporting Standard outlines disclosure requirements for non-SEC-reporting issuers on OTCIQ, including annual and quarterly reports, officer certifications, and…
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Understanding Rule 15c2-11 Current Information Standard
The SEC’s Rule 15c2-11 “Current Information” standard is the foundation of OTC Markets compliance. It requires that broker-dealers may publish or maintain…
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How the OTC Markets Expert Market Works – Securities Lawyer 101
The OTC Markets Expert Market is a restricted trading tier created under the SEC’s 2021 Rule 15c2-11 amendments, allowing only broker-dealers and…
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SEC and FINRA Enforcement Trends in the OTC Market
The have intensified enforcement in the OTC Markets. The focus has shifted sharply toward broker-dealer gatekeeper obligations, fraudulent stock promotions, and manipulative…
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Promotional Activity & Investor Relations Rules on OTC Markets
OTC Markets’ Stock Promotion Policy governs any public communication—press releases, newsletters, videos, email blasts, or social-media posts—that could influence trading activity or…
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OTC Markets Direct – Bypassing the Sponsoring Market Maker Under SEC Rule 15c2-11
Issuers may now work directly with OTC Markets through its OTCIQ Portal, bypassing the sponsoring market maker while maintaining full compliance under…
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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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