Category Archives: Capital Markets

OTC Markets Publishes Lists of December Compliance Downgrades & Caveat Emptor Designations

Last week, OTC Markets Group published the lists of downgrades from its OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of December. This list is part of OTC Markets’ initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that have occurred

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58 Companies Uplist From The OTC To Nasdaq & NYSE in 2018

Fifty-eight companies uplisted from the OTC Markets to the NASDAQ, NYSE, or NYSE American in 2018! That’s a significant increase from the thirty-five issuers that uplisted in 2016 and a slight decrease from the 63 that uplisted in 2017. While some of the world’s largest companies trade on the OTC Markets, many smallcap and microcap issuers view the OTC Markets as

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SSA To Host Webinar About How OTC Markets Is An Efficient & Cost Effective Trading Venue For Public Companies

At 2 PM EST on Thursday, January 24 Shareholder Services Association (SSA) will host an informative webinar where we’ll discuss the following: -How being public on OTC Markets eliminates cost, reduces complexity and obstacle to being public for corporate issuers. -The premium issuer markets OTCQB and OTCQX are S.E.C recognized established public markets for securities with well over 1,000 public

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Expert Analysis: Class of December 2018 OTC Graduates

By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of December saw a total of five companies uplist from the OTCQB onto national securities exchanges. Below are brief descriptions of these companies and selected information and observations of the paths these companies pursued from the OTC to a senior exchange. For more information about the uplisting process, or

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Five OTC Markets Issuers Uplisted From The OTCQB To The Nasdaq in December 2018

Five OTC Markets Issuers Uplisted From The OTCQB To The Nasdaq in December 2018. All of Decembers uplists were from the OTCQB to the Nasdaq and no issuer uplisted to the NYSE. Learn more about these OTC ‘graduates’ below.   Wrap Technologies Inc. (Nasdaq: WRTC) On December 4th, 2018, WRTC uplisted from the OTCQB to the Nasdaq Capital Market. Wrap

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OTC Markets Executive Shares Expectations For Reg A+ In 2019

Last week, The SEC adopted final rules to allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings. Following the news, Crowdfund Insider caught up with Jason Paltrowitz of OTC Markets Group to discuss Reg A+ issued securities trading on OTC markets. One of the questions Paltrowitz answered was about his expectations for Reg

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Martha Miller Named Advocate for Small Business Capital Formation

The Securities and Exchange Commission today announced that Martha Legg Miller has been named as the first Advocate for Small Business Capital Formation. The position and the new Office of the Advocate for Small Business Capital Formation were created pursuant to the bipartisan SEC Small Business Advocate Act of 2016. As the Advocate for Small Business Capital Formation, Ms. Miller

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SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A

This week, The Securities and Exchange Commission adopted final rules to allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings. “Regulation A provides an exemption from registration under the Securities Act for offerings of securities up to $50 million in a 12-month period,” said Chairman Jay Clayton. “The amended rules will provide reporting

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LD Micro Index Below 2,000 For First Time In 2 Years

This week, the LD Micro Index fell below 2,000 for the first time in  over 2 years. The LD Micro Index is designed to give the most accurate representation of the intraday activity of microcap stocks in North America. The index is market cap weighted and is comprised of approximately 1,014 stocks in the U.S. and Canada. General criteria for inclusion

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Four OTC Markets Issuers Uplisted to Nasdaq & NYSE in November 2018

Four issuers uplisted from the OTC Markets to the NASDAQ or NYSE in November 2018. Learn more about these OTC ‘graduates’ below.   Aphria Inc. (NYSE: APHA) On November 2, 2018, APHA uplisted from the OTCPink to the NYSE. Aphria is a leading global cannabis company driven by an unrelenting commitment to our people, product quality and innovation. In preparation for

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