Over-the-Counter (OTC) Markets Compliance

Understanding this Important Business Process

We offer FINRA-related legal advice to small public companies that trade on the over the counter market. We understand the need for due-diligence as businesses must deal with a fluid and constantly changing regulatory environment at the OTC stock exchange. We stay current with all related matters so that our clients may get quick and dependable legal advice as and when they need it.

When public companies just get started in their securities trading, they usually start in over-the-counter (OTC) markets. While companies that are traded on OTC markets are not held to the same stringent standards required by the major exchanges, they do still need to follow various requirements in order to remain in compliance.

The wise choice to make as a business owner that will be involved with OTC markets compliance issues is to seek the professional counsel of a securities attorney from the Securities Compliance Group as soon as possible. With our assistance, you can be sure that you are making the right choices, not only for the future of your company but also to avoid any legal issues. Contact us to speak to one of our experienced attorneys to get started.

Avoiding Complicated Issues with Sound Legal Advice

In order to trade on an OTC market, a company needs to start reporting to the U.S. Securities and Exchange Commission (SEC), which involves filing quarterly and annual reports on the government entity's required timeline. The company must then have a broker – also known as a market maker – file a form with the Financial Industry Regulatory Authority (FINRA) that requests a ticker symbol for the company. In this step, the broker must use Form 211.

Our securities compliance lawyer at Securities Compliance Group can assist with various OTC compliance issues, which include (but are not limited to) the following:

  • OTC markets reporting
  • Securing a ticker symbol through FINRA Rule 211
  • Getting a ticker symbol changed
  • General FINRA compliance issues
  • Microcap securities
  • Stock splits
  • Depository Trust Company (DTC) eligibility

Contact Securities Compliance Group Today for Professional Guidance

You can turn to our law firm for assistance with various types of securities and IPO needs. Adam S. Tracy is a securities compliance lawyer and capital markets consultant who draws from valuable business experience. He has passed the FINRA Series 7 and 63 exams for securities industry professionals, and he has been admitted to practice law in both state and federal courts. Let this highly skilled securities lawyer address your OTC markets compliance needs.

Contact us today so we can provide the necessary guidance for you and your company!

Securities Compliance Group Securities Compliance Group, LTD Adam S. Tracy, founder of the Securities Compliance Group, is an experienced corporate & securities attorney that handles initial public offerings, reverse mergers, securities offerings, compliance and private placement memorandums. Securities Compliance Group was founded in 2005 by Adam S. Tracy, an experienced attorney and capital markets consultant. A former competitive rugby player and serial entrepreneur, Adam Tracy has a wealth of experience on both sides of the table. He has advised many companies with regards to legal, compliance and capital markets matters. Corporate Lawyer 2005-05-05 Adam S. Tracy https://www.ibankattorneys.com/images/Logo.png
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Adam S. Tracy Facebook Twitter Google + LinkedIn Tumblr DePaul College of Law, J.D. DePaul Kellstadt Graduate School of Business, M.B.A University of Notre Dame, B.S., Finance University of Notre Dame, B.A., Computer Applications Supreme Court of Illinois United States Tax Court United States District Court for the Northern District of Illinois United States District Court for the Central District of Illinois United States District Court for the Southern District of Illinois United States District Court for the Eastern District of Michigan Male American Chicago
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