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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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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SEC and FINRA Enforcement Trends in the OTC Market
The have intensified enforcement in the OTC Markets. The focus has shifted sharply toward broker-dealer gatekeeper obligations, fraudulent stock promotions, and manipulative…
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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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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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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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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 Link? OTC Markets Lawyer
Companies quoted on OTC Link include the OTC Markets’ OTCQX and OTCQB. They must provide key financial information and be current in…
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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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Will Going Public Help Me Raise Capital? Going Public Attorneys
Going public is frequently used as a stepping stone by companies seeking to raise capital.
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Going Public – Regulation A+ – IPO Alternative
Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise…
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What is a Penny Stock? Securities Lawyer 101
The term "penny stock" refers to a security issued by a company whose shares that trades at less than $5 per share…
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