Home Archive by Category "OTC Market" (Page 3)
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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OTC Markets Makes Several Regulatory Recommendations
On March 8, 2018, Cromwell Coulson, CEO of OTC Markets Group, made a presentation to the SEC’s Investor Advisory Committee (“IAC”) a...
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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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Potential Impact of Rule SEC Release #34-60515 Regarding Proposal to Extend Regulation NMS Coverage to OTC Securities
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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