OTC Markets’ Role in Secondary Offerings and Resales
The critical role of OTC Markets in facilitating secondary offerings and resales of restricted and control securities under SEC Rule 144. This…
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Reverse Mergers and OTC Markets: Compliance After the Transaction
This article discusses reverse mergers and the crucial need for post-merger compliance to ensure trading eligibility on OTC Markets. A reverse merger,…
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How Foreign Issuers Use Rule 12g3-2(b) for OTC Quotation
SEC Rule 12g3-2(b) offers a streamlined exemption for foreign private issuers to gain U.S. market visibility and access U.S. investors by qualifying…
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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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Toxic Convertible Financing and OTC Markets Issuers
This article discusses the risks and consequences of toxic convertible financing, also known as "death spiral financing," for small and emerging companies…
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Comparing OTCQX, OTCQB, and OTCID: Which Tier Is Right for Your Company?
This article from Hamilton & Associates Law Group compares the three main tiers of the OTC Markets Group—OTCQX, OTCQB, and OTCID (formerly…
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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: 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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SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks
Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…
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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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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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SEC Trading Suspensions Under the Securities Exchange Act
When the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…
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Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers
A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling...
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