OTC Markets’ Role in Secondary Offerings and Resales
The critical role of OTC Markets in facilitating secondary offerings and resales of restricted and control securities under SEC Rule 144. This…
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Nasdaq Annual Meeting Rules: Q&A Guide
This question-and-answer guide covers the legal and regulatory requirements for Nasdaq-listed companies holding their annual stockholder meetings. The article focuses on the…
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Reverse Mergers and OTC Markets: Compliance After the Transaction
This article discusses reverse mergers and the crucial need for post-merger compliance to ensure trading eligibility on OTC Markets. A reverse merger,…
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Why So Few Brokerage Firms Accept OTC Markets Shares — And What It Means for Investors
For many retail investors, trading or depositing shares of OTC-traded companies is challenging. A significant number of brokerage firms impose restrictions—driven by…
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Cautionary Tales from the OTC Markets
The OTC Markets can serve as either a launchpad to major exchanges or a dead end, depending on issuer transparency, governance, and…
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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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SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks
Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…
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