OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules
January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...
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OTCQB Sets New Requirements For Change Of Control Events
On June 30, 2017, the OTC Markets Group published amendments to the OTCQB standards related to the processing and reporting of chang...
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Florida Broker-Dealer Registration Exemption For M&A Brokers
Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...
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Filing Deadlines for Exchange Act Quarterly and Annual Reports
Companies subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are required...
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The SEC Has Issued New Guidance Related To Foreign Private Issuers
On December 8, 2016, the SEC issued 35 new compliance and disclosure interpretations (C&DI) including five related to the use of...
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Broker-DealerDirect Public Offering (DPO)Due DiligenceFINRAForm 10Funding PortalsGoing PublicGoing Public AttorneysMerger TransactionNASDAQOTC MarketOTCBBOTCQB and OTCQXPrivate Investment in Public Equity (PIPE)Public Shell CompanyReverse MergersRule 144S-1 Registration StatementSEC Rule 15c2-11Securities AttorneysUncategorized
Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public
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The OTCQB Has Added Additional Quantitative Listing Standards
On May 20, 2018, the OTC Markets Group published the OTCQB Standards version 3.0 incorporating amendments to the OTCQB initial and o...
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Going Public Without An IPO
On April 3, 2018, Spotify made a big board splash by debuting on the NYSE without an IPO. Instead, Spotify filed a resale registrati...
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OTC Markets Group Establishes A Stock Promotion Policy
As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion poli...
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