Tag Archives: OTC Markets

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

This week, OTC Markets Group published the lists of downgrades from its OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of July. 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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SEC Subpoenas MicroCap Public Company Following Claimed Blockchain Pivot

Long Blockchain Corp. (OTC: LBCC) has had a roller coaster few years. The company, formerly know as Long Island Iced Tea, uplisted from the OTC to the Nasdaq in 2016. Since uplisting, the company pivoted away from iced tea and into blockchain, was de-listed from the Nasdaq, and is currently listed on the OTC Pink “No Information.” Because LBCC is currently delinquent

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OTC Markets Publishes Lists of June 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 June. 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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Nine OTC Markets Issuers Uplist to Nasdaq & NYSE in June 2018

Nine issuers uplisted from the OTC Markets to the NASDAQ or NYSE American in June 2018. Learn more about these OTC ‘graduates’ below.   Ambow Education Holding Ltd. (NYSE American: AMBO) On June 1, 2018, AMBO uplisted from the OTC to the NYSE American. Ambow Education Holding Ltd. is a leading national provider of educational and career enhancement services in

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New Independent Study: Benefits for International Companies Trading on OTCQX [Guest Post]

Guest Post By: Jason Paltrowitz We often hear questions from foreign issuers and their respective exchanges surrounding the decision to pursue secondary trading in the U.S. Many harbor the misconception that cross-trading in the U.S. will lead to a loss of trading volume and drain in liquidity from their primary home market.   The Market Impact of Cross-Trading Understanding the

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Spotify’s Direct Listing Highlights A Cost Effective Path To Public Markets Often Used By MicroCaps

A recent post in Traders Magazine by Jason Paltrowitz (EVP of OTC Markets Group) discussed “Going Public in a Post-Spotify World.” In April, music streaming giant Spotify directly listed on the NYSE without a traditional IPO. Direct listing (also known as a “Slow-PO”) is a cost effective way for companies to list their shares on a public market because there

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

This week, OTC Markets Group published the lists of downgrades from its OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of May. 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 in May 2018

Four issuers uplisted from the OTC Markets to the Nasdaq in May 2018. Learn more about these OTC ‘graduates’ below.   BayCom Corp. (Nasdaq: BCML) On May 4, 2018, BCML uplisted from the OTCBB to the Nasdaq Global Select Market. BCML, through its wholly owned operating subsidiary, United Business Bank, offers a full-range of loans, including SBA, FSA and USDA

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OTC Markets Group Applauds Expansion of Regulation A+ for SEC Reporting Companies

OTC Markets Group Inc. issued a press release yesterday applauding the May 24, 2018 enactment of the Economic Growth, Regulatory Relief, and Consumer Protection Act (S.2155), which includes key legislation expanding Regulation A+ to SEC reporting companies. Regulation A+ allows small companies to raise up to $50 million online, transparently and directly from the public without the extensive cost burden

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