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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Why So Few Brokerage Firms Accept OTC Markets Shares — And What It Means for Investors
For many retail investors, trading or depositing shares of OTC-traded companies is challenging. A significant number of brokerage firms impose restrictions—driven by…
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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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Depositing OTC Markets Shares — And What It Means for Investors
For many retail investors, buying or depositing shares of OTC-traded companies is far harder than it appears. Even when a security displays…
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SEC Pursues Unregistered Dealers, Toxic Financing, Toxic Convertible Notes
2020 has been a historic year for Securities and Exchange Commission ("SEC") enforcement action against toxic lenders as unregistered dealers.
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