Category Archives: Capital Markets

OTC Markets Publishes List of November Compliance Downgrades and Caveat Emptor Designations

Last week, OTC Markets Group published the lists of downgrades from its respective OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of November. This list is part of OTC Markets’ new 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

Read more

Public Cannabis Company Receives SEC Qualification for Reg A+ Offering

Late last week, True Leaf Medicine International Ltd. (CSE: MJ) (FSE: TLA) (OTCQB: TRLFF) launched a CAD $10 million Reg A+ offering after it received a qualification notice from the SEC. True Leaf is one of the few already public companies to use Reg A+ as a method to raise capital. True Leaf adheres to international reporting standards (vs SEC

Read more

Four Issuers Uplisted From The OTC to Senior Exchanges in November 2017

Four issuers uplisted from the OTC Markets to the NASDAQ, NYSE American, and NYSE in November. Learn more about these OTC ‘graduates’ below.   NanoVibronix, Inc. (NASDAQ: NAOV) On November 2, 2017, NAOV uplisted from the OTCQB to the NASDAQ Capital Market. NanoVibronix, Inc. is a medical device company headquartered in Elmsford, NY with research and development in Nesher, Israel, that is

Read more

Reg A+ Offerings Have Raised Over $600 Million to Date

Last week, at the annual SEC Government-Business Forum on Small Business Capital Formation, Sebastian Abero, the head of the SEC’s Office of Small Business Policy shared that since inception there have been 69 completed Reg A+ offerings raising a total of $611 million. The update was shared by David Feldman Esq. on his blog. Feldman pointed out that seven of those 69

Read more

Underwriting Stock and the Art of Legal Stock Price Manipulation [Guest Post]

Guest Post By: Irwin Stein, Esq.  There is a synergy in the stockbrokerage world upon which few people focus but without which the entire system of that capital formation as we know it might suffer. When a stockbrokerage firm sells its customers shares in an IPO both the firm and the customers want the same thing; they want the shares to

Read more

Microcap Stocks Surge on Cryptocurrency Initiatives

On Monday, three of the top four most actively traded U.S. stocks were all either riding a cryptocurrency-fueled surge, or pulling back from one. Digital Power Corp (NYSE Mkt: DPW), Marathon Patent Group (NASDAQ: MARA), and Riot Blockchain (NASDAQ: RIOT) all saw tremendous volume because of their crypto-related business. DPW’s market value jumped from $12 million on Friday to over $40 million

Read more
« Older Entries