Law Blog Category: OTCBB

SEC Issues White Paper On Penny Stock Risks

February 21, 2017 in NASDAQ, NYSE MKT, OTC Market, OTC Pink, OTCBB, OTCQB, OTCQX

On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, attorneys and a transfer agent, related to penny stock fraud. On the same day the SEC issued a new white paper detailing the risks associated with investing in penny stocks. This blog summarizes the SEC white paper. As Read the full article…

OTC Markets Amends Listing Standards For OTCQB To Include Regulation A+ Issuers

SEC Suspends Trading On 128 OTC Markets Companies

OTC Markets Quotation Levels, Listing Requirements, and Comprehensive Pubco Criteria

FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets

OTCQX Listing and Quotation Eligibility and Requirements for International Companies

The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction

OTCQX Listing and Quotation Eligibility and Requirements for U.S. Companies

OTC Markets has Modified its OTCQB Eligibility Criteria Effective May 1, 2014

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

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