Tag Archives: OTC Markets

OTC Markets Publishes Lists of April 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 April. 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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Four OTC Markets Issuers Uplist to Nasdaq & NYSE in April 2018

Four issuers uplisted from the OTC Markets to the NASDAQ or NYSE American in April 2018. Learn more about these OTC ‘graduates’ below.   BioHiTech Global, Inc. (Nasdaq: BHTG) On April 9, 2018, BHTG uplisted from the OTCQB to the Nasdaq Capital Market. BHTG’s innovative waste management services combined with disruptive technologies provide sustainable waste disposal and supply chain management solutions for businesses

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OTC Markets Shares Four Regulatory Initiatives & Targeted Rulemaking for 2018

In a post on the OTC Markets Blog last week, Cass Sanford shared OTC Markets Group’s “2018 Regulatory Initiatives & Targeted Rulemaking.” According to Sanford, “Over the past 20 years, the reputation and recognition of the OTC markets has grown.” That growth has come from technology improvements and from working closely with lawmakers and regulators. In 2018 OTC Markets will focus

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ROTH Conference Regulation A Panel Answers Common Reg A Questions

Last month, the 30th annual ROTH Conference hosted 550 participating companies and over 4,700 small/microcap attendees. For those that couldn’t attend, the expert panels from ROTH are available for viewing online. One panel that was particularly interesting was the panel on Regulation A Offerings. The panel was moderated by Mitch Nussbaum of Loeb & Loeb LLP. Panelists included; Nazan Akdeniz (ROTH Capital

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Why Is It Difficult To Deposit MicroCap Stock?

In a new post on the OTC Markets’ blog, Jason Paltrowitz answered a question many microcap shareholders ask –  “Why Can’t I Deposit my Shares?” According to Paltrowitz, “The problems with the deposit of shares often center around broker-dealers’ gatekeeper responsibility to understand “how” the company’s shares were obtained and know “who” the investor looking to complete the transaction is, so

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OTC Markets Publishes Lists of March Compliance Downgrades & 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 March. 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

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Five OTC Markets Issuers Uplisted to Nasdaq in March 2018

Five issuers uplisted from the OTC Markets to the Nasdaq in March 2018. Zero issuers uplisted to the NYSE or NYSE American last month. Learn more about March’s OTC ‘graduates’ below.   Cocrystal Pharma, Inc. (Nasdaq: COCP) On March 12, 2018, COCP uplisted from the OTCQB to the Nasdaq Capital Market. Cocrystal Pharma, Inc. is a clinical stage biotechnology company discovering and

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OTC Markets Group Launches New Stock Promotion & Shell Risk Flags

On Wednesday, OTC Markets Group announced that a new stock promotion flag will enable investors to easily identify securities that are the subject of current promotional activity. This new flag, which is shaped like a megaphone, will appear on the promoted company’s quote page on otcmarkets.com. Stock promotion flags are part of an initiative OTC Market Group announced in November 2017

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