OTC Market Compliance

At Pearson Butler, we have decades of experience serving individuals, businesses, and families across Utah in over a dozen practice areas. With more than 30 qualified legal professionals, we have the resources and experience needed to resolve even the most complex legal matters.

OTC Market Compliance

Securities Lawyers With Decades of Experience

The OTC Markets Group (formerly called “Pink Sheets”) provides liquidity and price information for approximately 10,000 over-the-counter (OTC) securities. Like the Depository Trust Company (DTC), the OTC is headquartered in New York City. The OTC Markets Group organizes trades into three categories to inform investors of opportunities and risks. In the recent years, the OTC Market has developed several tiers of quotation with increasingly higher reporting requirements: Pink, OTCQB, and OTCQX.

For more information on OTC Market compliance and how an attorney can assist you, call Pearson Butler at (800) 265-2314. The firm’s seasoned securities lawyers serve companies throughout the country.

The OTC Market Can Offer Benefits for Smaller Companies

Although the OTC Market Group does not require companies to file with the Securities and Exchange Commission (SEC) in order to be quoted on the platform, many still file with the SEC. Companies quoted on OTC Markets range from established foreign firms to very small U.S. companies.

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.

Trading in the OTC Market

It’s challenging for small public companies to trade in the OTC market due to the constantly changing regulatory environment. Pearson Butler strives to keep abreast of these changes so clients may as well. The firm’s securities law attorneys ensure that clients receive quality legal service by limiting the number of assignments accepted at any given time. Pearson Butler works well with entrepreneurs and business owners through a true understanding of their need to have experienced counsel to stay current with state and federal securities and regulations, complete mergers and acquisitions, and comply with financial industry reporting requirements.

Contact Pearson Butler to schedule a consultation and learn about your options. Call (800) 265-2314 or complete the online form today.

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