OTC Markets Quotation and Disclosures
Over-the-Counter (OTC) Markets quotations and disclosures refer to the information companies provide and the price quotes that facilitate trading in securities not listed on major exchanges. OTC Markets Group organizes these securities into tiers based on the quality and transparency of their reporting. Quotations show current bid and ask prices from broker-dealers, while disclosures—such as financial statements, company profiles, and material news—help investors assess risk. Together, they support informed trading in a marketplace where reporting standards can vary widely.
For issuers seeking to have their securities quoted on the OTC Markets, the submission and clearance of Form 211 by a FINRA member market maker are crucial steps. This SEO-optimized guide explains FINRA Form 211 requirements, sponsoring market maker …
Read MoreFINRA Rule 6490 authorizes the Financial Industry Regulatory Authority (FINRA) to review, delay, or refuse to process corporate actions for companies whose securities are quoted on the Over-the-Counter (OTC) markets. The rule protects investors and m…
Read MoreCorporate actions , including name changes, stock splits , mergers, and symbol changes, are crucial for maintaining accurate market information for investors trading on the OTC Markets. These actions are regulated primarily by FINRA under Rule 6490 a…
Read MoreThe OTC Markets Group operates the primary trading platform for thousands of public companies outside the Nasdaq and the NYSE . Its three main tiers—OTCQX, OTCQB, and OTCID ( formerly OTC Pink )—serve issuers at different stages of growth and complia…
Read MoreA Direct Public Offering ( DPO ) on the OTC Markets allows a private company to make its shares publicly tradable without a traditional IPO or reverse merger . Existing shareholders can sell shares directly once the company is quoted under SEC Rule 1…
Read MoreThe OTC Markets Expert Market is often called the ‘penny stock graveyard.’ It’s where issuers go when they lose quotation eligibility under SEC Rule 15c2-11. Once downgraded, their securities are no longer publicly quoted on OTCQX, OTCQB, or OTC Pink…
Read MoreIf your company currently trades on the OTC Markets, is seeking to become quoted on the OTC Markets, or you simply want to learn more about how OTC quotations and disclosures work, check out the additional resources below.
