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...
Home Archive by Category "OTC Pink"
OTC Markets Amends Listing Standards For OTCQB To Allow Non-Reporting Issuers
Effective May 18, 2017, the OTC Markets has amended its qualification rules for the OTCQB to allow quotation by companies that follo...
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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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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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SEC Issues White Paper On Penny Stock Risks
On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, a...
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