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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The Penny Stock Graveyard – The OTC Markets Expert Market Explained: What Happens When Issuers Lose Quotation Eligibility
This article explains how issuers are downgraded to the OTC Markets Expert Market after losing quotation eligibility under SEC Rule 15c2-11, how…
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Material Event Reporting on the OTCID Market for Non-SEC Reporting Issuers
On July 1, 2025, OTC Markets Group replaced its Pink Current Information tier with the OTCID Market, a modernized disclosure platform aligned…
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Compliance for Cryptocurrency and Digital-Asset Issuers on OTC Markets
Crypto and blockchain issuers seeking OTC Markets quotation must comply with SEC Rule 15c2-11 by providing transparent disclosures on token operations, financials,…
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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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Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets
All issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…
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What Is the OTC Markets Expert Market? Securities Lawyer Blog
Quotes of securities in the Expert Market are “Unsolicited Only,” which means that trades of securities subject to unsolicited quotation in the Expert…
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Rule 15c2-11 Compliance Deadline Is Just Around the Corner
In September of last year, the Securities and Exchange Commission (the “SEC”) adopted amendments to Securities Exchange Act Rule 15c2-11. In early 2020, we…
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Direct Public Offering Attorneys, DPO, Go Public Direct
A direct public offering (“Direct Public Offering”) provides a viable solution to these companies. Using a Direct Public Offering to go public direct can allow…
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OTCQX Listing and Eligibility – OTC Markets Lawyer
OTC Markets Group Inc. operates the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market for 11,606 U.S. and…
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SEC Amends Rule 15c2-11, Form 211 Amendments
On September 16, 2020, SEC amended Exchange Act Rule 15c2-11 and Form 211. Changes to Rule 15c2-11 were proposed last year. The OTC…
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