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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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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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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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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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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