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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High Risk or Hidden Opportunity? Due Diligence When Investing in OTC IPOs and Pre-IPO Shares
This article provides a comprehensive guide to due diligence for investors interested in OTC IPOs and Pre-IPO Shares, emphasizing the high-risk nature…
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Uplisting from OTC Markets to Nasdaq or NYSE: The Uplisting Path and Compliance Milestones
The ultimate guide to uplisting from OTC Markets to Nasdaq or NYSE. Learn the strategic path, compliance milestones, and 'Corporate Cleanup' necessary…
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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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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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Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action
In his dissent, Uyeda seems to accept the generally accepted description of variable-rate convertible notes as "toxic" and "death spiral" financings that…
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