Category Archives: Capital Markets

SEC Announces Members of Small Business Capital Formation Advisory Committee

Last week, the Securities and Exchange Commission announced the inaugural members of the Small Business Capital Formation Advisory Committee. The Committee will hold its first meeting on Monday, May 6, 2019, at the SEC’s headquarters in Washington, D.C. The Committee was established by the SEC Small Business Advocate Act of 2016, and is designed to provide a formal mechanism for

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OTC Markets Announces Q1 2019 Index Performance and Rebalancing

Last week, OTC Markets Group announced the first quarter 2019 performance and quarterly rebalancing of the OTCQX® and OTCQB® indexes, including the OTCQX Canada Index and the OTCQX Dividend Index. All the OTC Indexes ended Q1 higher. The OTCQB Venture Index (.OTCQB), which tracks the overall OTCQB Venture Market, was up 15.6% in the first quarter. The OTCQX Composite Index

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What Is The OTCQX Advisory Council?

Started in 2015, the OTCQX Advisory Council provides insight and support to the OTC Markets Group senior management team on key issues that impact OTCQX-traded issuers and the public markets. The Council is comprised of a ten-member board. Collectively, these Council members represent an impressive mix of U.S.-based CEOs and CFOs from a diverse range of geographic and industry sectors.

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OTC Markets Group Introduces Canari To Assign Risk Scores To OTC Issuers

Last week, OTC Markets Group Inc. introduced Canari — a premium web-based tool designed to provide users with a comprehensive view of quantitative compliance data for OTCQX®, OTCQB®, Pink® and Grey Market securities. Through its intuitive user interface, Canari helps clients quickly access risk scoring metrics and drill down into 110 essential data points at the security level. The tool

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New Premium Provider Directory On OTC Markets’ Website

For a $500 application fee and $3,000 per year, your firm can be listed in OTC Markets’ New Premium Provider Directory. OTC Markets Group’s Premium Provider Directory offers select providers direct exposure to the thousands of U.S and international companies that trade on our OTCQX®, OTCQB® and Pink® markets. Each custom profile will feature company name, logo, service description and

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Two OTC Markets Community Banks Uplisted From The OTC To Nasdaq In March 2019

Two OTC Markets Issuers Uplisted From The OTC To senior exchanges in March 2019. Both of last month’s ‘graduates’ were community banks uplisting from the OTC to Nasdaq. There were no traditional OTC uplists in March. Learn more about the OTC ‘graduates’ below.   Cortland Bancorp (Nasdaq: CLDB) On March 8, 2019, CLDB uplisted from the OTC to the Nasdaq

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Expert Analysis: Class of February 2019 OTC Graduates

By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of February saw a total of five companies uplist from the OTC onto national securities exchanges. One of these companies operates in the medical devices industry, two operate in the energy sector, one operates in the consumer products industry, while another is in the cannabis industry. Below is a

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Five OTC Markets Issuers Uplisted From The OTC In February 2019

Five OTC Markets Issuers Uplisted From The OTC To senior exchanges in February 2019.  Learn more about the OTC ‘graduates’ below.   Zynex, Inc. (Nasdaq: ZYXI) On February 12, 2019, Zynex, Inc. (Nasdaq: ZYXI) uplisted from the OTCQB to the Nasdaq Capital Market. Zynex, founded in 1996, markets and sells its own design of electrotherapy medical devices used for pain management and

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OTC Markets Publishes Lists of February 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 February. 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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