Over-the-Counter (OTC) Markets Compliance

For smaller public companies, the most common market for the trading of their securities is on the over-the-counter (OTC) markets. One of the reasons why a quotation on the OTC markets is advantageous for smaller public companies is due to the lower standards from those required by major exchanges. Despite lower standards, the OTC markets maintain standards for quotation which need to be followed in order to maintain quotation. Our lawyers are experienced in the OTC markets and can assists smaller public companies in gaining quotation of their securities, maintaining their quotation, advancing through the tiers of disclosure (from OTC Pink to OTCQX), and the various issues having to do with FINRA and DTC eligibility.