Corporate Actions and Symbol Changes on OTC Markets
The article explains how public companies quoted on OTC Markets must handle corporate actions—such as name or symbol changes, stock splits, mergers,…
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OTC Markets Liquidity and Price Discovery
This article from Hamilton & Associates Law Group explores liquidity and price discovery on the OTC Markets, highlighting their unique operations compared…
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OTC Markets Listing for Canadian Issuers
Canadian public companies can reach U.S. investors by dual listing on OTC Markets through the Multijurisdictional Disclosure System (MJDS). Eligible issuers may…
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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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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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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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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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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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FINRA Corporate Action Requests
The Financial Industry Regulatory Authority (FINRA) oversees the processing of corporate action requests for companies trading in the over-the-counter (OTC) markets under…
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