OTC Markets Group Introduces Small Cap Listed Compliance Product

Stock Trade

Last week, OTC Markets Group introduced a first of its kind compliance product designed to provide broker-dealers and compliance and risk management teams with an efficient and turnkey data set to standardize the process for evaluating over 1,800 sub $500 million market cap equities listed on a national stock exchange.

The new Small Cap Listed Compliance Product allows firms to enhance their due diligence and establish a standardized framework to analyze securities across the listed and OTC equity small cap market–providing end users with a more streamlined approach for evaluating the significant number of small cap listed securities. The file also provides comprehensive active and historical stock promotion data for small cap listed securities.

OTC Markets Group recognizes its compliance leadership role for the public small cap markets,” said Matthew Fuchs, Executive Vice President of Market Data and Strategy at OTC Markets Group. “We are extending our compliance coverage in order to help AML and risk management teams holistically cover the US small cap market, which will benefit investors, market participants and small-cap issuers.

Key Compliance Data points include:

Active and Historical Stock Promotion Data
Penny Stock Status
OTC Graduate Data
Micro Cap Status
Security Name Change History
Current and Former Shell Status
Stock Split History

Delivered in pipe-delimited format, twice daily at 5:00 am (ET) and 7:00 pm (ET), the file is licensed at an enterprise level designed for broker-dealers, AML, compliance and risk management professionals looking to more effectively right-size small cap listed equity compliance.

For more about OTC Markets Group’s market data products, including connectivity information, visit https://www.otcmarkets.com/market-data/overview.



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