OTC Link - Securities & Forensic Lawyers

Axesstel Fails to Comply with Exchange Act

On April 24, 2017, the Securities and Exchange Commission (“SEC”) deemed it necessary and appropriate for the protection of investors that public administrative proceedings be, and hereby are, instituted pursuant to Section 12(j) of the Securities Exchange Act… Read More

OTC Markets Q & A – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer The OTC Markets offer several different tiers for companies to choose from when considering their services. These are the OTCQX, OTCQB and OTC Pink marketplaces.  Companies that are trading on the OTC… Read More

What is the OTC Link® ATS?

OTC Link LLC (OTC Link) is owned by OTC Markets Group Inc.  OTC Link is an electronic inter-dealer quotation system that displays quotes from broker-dealers for many over-the-counter (OTC) securities.  OTC Link is registered with the SEC as… Read More

SEC Targets Another Promoter In a Reverse Merger Scheme

Securities Law Blog The Securities and Exchange Commission (the “SEC”) charged another promoter in connection with a reverse merger issuer.  Matthew Carley, a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving the stock of reverse merger… Read More

FINRA’s OTCBB Replacement To Report Six Digit Trade Prices

Securities Lawyer 101 Blog Recently, the Financial Industry Regulatory Authority (“FINRA”) announced its intention to shut down the OTCBB.com website it had run for many years.  FINRA originally tried to sell the site and the accompanying trading platform,… Read More

Raising Capital and Going Public Guide 2014

There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities and go public. These are the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of… Read More

What are the OTC Markets Reporting Requirements?

Securities Lawyer 101 Blog Unlike securities listed on stock exchanges such as NASDAQ or the NYSE, securities may trade through the OTC Markets interdealer quotation system whether they are a Securities and Exchange Commission (“SEC”) reporting issuer or not…. Read More