Articles On This Page
Virtual Panel Discussion: Small Businesses in the Public Markets NEW!
OTC Markets - Small Cap Compliance Product Now Includes Risk Scoring
OTC Markets White Paper: What Does It Take to Have A Winning IR Strategy?
Articles
Virtual Panel Discussion: Small Businesses in the Public Markets
Summary - OTC Markets Group is offering a virtual panel discussion with the SEC's Office of the Advocate for Small Business Capital Formation on the experience of small, publicly-traded companies.
Key topics included in the discussion are:
Capital raising
Becoming a publicly-traded company
Secondary trading
Reporting & disclosure
Panelists include:
Martha Miller, SEC Advocate for Small Business Capital Formation
Dan Zinn, General Counsel of OTC Markets Group (OTCQX: OTCM)
Steve Bagley, CFO of Sono-Tek Corp. (OTCQX: SOTK)
Robert Schermer, CEO of Meritage Hospitality Group, Inc. (OTCQX: MHGU)
Lauren Ranalli, President & CFO of First Resource Bank (OTCQX: FRSB)
For more information and to access the discussion, please click here.
OTC Markets - Small Cap Compliance Product Now Includes Risk Scoring
Summary - OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today announced the addition of 'Risk Scoring' to its Small Cap Listed Compliance Product. This latest enhancement provides broker-dealers and compliance and risk management teams with a quantitative metric to compare over 2,300 sub $500 million market cap U.S. exchange-listed securities.
Individual securities are assigned a total risk score based on 13 factors which provide a comprehensive view of the risk profile. Key risk factors include: promotion, hot sector status, penny stock status, shell status (current and past), price, market cap and trading volatility. The latest data set provides a more in-depth, analytical compliance snapshot to better evaluate small cap securities listed on the NYSE, NYSE American and Nasdaq.
"The ability to quickly assess and compare risk factors for individual small cap listed securities provides broker-dealers, risk management and compliance professionals with enhanced benchmarking and insight into this segment of the market," said Matthew Fuchs, Executive Vice President of Market Data and Strategy at OTC Markets Group. "Providing subscribers with efficient, comprehensive, real-time analytics tools continues to be our focus."
Risk Score Algorithm data also includes elements related to:
- Name Changes
- Reverse Splits
- Price and Volume Change
- Shares /Authorized Shares Outstanding
Delivered in pipe-delimited format, twice daily at 5:00 am (ET) and 7:00 pm (ET), the file is licensed at an enterprise level designed for broker-dealers, AML, compliance and risk management professionals looking to more effectively right-size small cap listed equity compliance.
For more information, please click here.
OTC Markets White Paper: What Does It Take to Have A Winning IR Strategy?
Summary - OTC Markets Group has released its newest white paper, which offers case studies for best practice tips from the winners and nominees of IR Magazine Awards - Small Cap. The white paper includes insights from portfolio managers about what they're looking for from an IR strategy in companies they invest.
According to the OTC Markets website, "the success of the nominees and winners reflects on a range of IR best practices, including:
- A successful rebranding campaign by Safehold
- Industry-leading investor targeting by RMS Medical Products
- Enhanced investor communication by NAPCO Security Technologies"
For more information and to access the white paper, click here.