Otc filings. Find the latest SEC Filings data for OTC Markets Group Inc - Class A (OTCM) including 10-K and 10-Q forms at Nasdaq. N/A Overview Quote Company Profile Security Details News Financials Disclosure Research OTC Disclosure & News Service Back to News Headlines Other Financial Information Recent News & Disclosure Filings Recent SEC Filings Daily Advancers Subscribe to Our Newsletter Our cloud-based application - EDGAR ® Pro brings together filings, financial data, ownership information and insider data across over 12,000 SEC and OTC filers to simplify company and sector analysis. Presently there are only two interdealer quotation systems, Global OTC ATS OTC Markets Group Inc. Over-The-Counter (OTC) Derivatives Notes: Type of Regulatory Documents: SPM = Supervisory Policy Manual, CIR = Circular, GLN = Guideline, COP = Code of Practice, EN = Explanatory Note, PN = Practice Note, AG = Additional Guidance Reference of Regulatory Documents: X-X-N / X-N = SPM Module Code, N. The trading information is derived directly from OTC trades that This article answers whether OTC stocks and penny stocks are the same, explains how they overlap and differ, outlines OTC market tiers, regulatory rules, trading mechanics, risks, and practical due Daily List The Daily List is a list of new issues, deleted issues, symbol and name changes, and other corporate actions for over-the-counter (OTC) equity securities, as well as historical OTC Bulletin Board (OTCBB) securities. For the application number field, provide an OTC monograph reference in the drug listing, use the number of the applicable OTC monograph found on the OTC Monographs@FDA portal. Over-the-counter (OTC) drugs are developed under the OTC Monograph Process or through the New Drug Application (NDA) Process. Define OTC Filings and Disclosures. OTCBB was a FINRA interdealer quotation system that was retired in 11/2021. This new platform offers a streamlined way for both public and private companies looking to go public to trade their securities while ensuring transparency for investors, brokers, and regulators. Current and potential investors in the issuer’s securities should be provided with all “material” information ⎯ the information available to the issuer necessary for the investor to make a sound investment decision. The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange and for trades in Restricted Equity Securities effected under Securities Act Rule 144A and dissemination of last sale reports. Quarter Ending MARCH 31, 2023 10-Q OTC Markets Group, Inc. View the OTCM U. A company’s securities may trade on OTC venues for various reasons, including when a company is unable or unwilling to meet national securities exchange listing requirements, such as the threshold for the number of publicly traded shares or the minimum price per share. The consummation of a merger or consolidation of the Company with any other corporation, other than a merger or consolidation which would result in the voting securities of the Company outstanding immediately prior thereto continuing to represent (either by remaining outstanding or by being converted into voting securities of the surviving entity or its parent) at least fifty percent (50%) of Supplemental Report: Catch-all Information: This report is designed for use by international companies exempt from SEC reporting obligations under Rule 12g-1, to provide “Catch All” information required under Rule 15c2-11 in addition to their home country disclosure. The Daily List is a list of new issues, deleted issues, symbol and name changes, and other corporate actions for over-the-counter (OTC) equity securities, as well as historical OTC Bulletin Board (OTCBB) securities. 5% overall market growth. Learn the strategic path, compliance milestones, and 'Corporate Cleanup' necessary to meet heightened quantitative and qualitative standards. com. Read more here. OTC Road Services Inc. website. For questions, contact the Oklahoma Tax Commission at grossproductionquestions@tax. means the Company’s documents uploaded as of the Execution Date onto the Company’s “Filings and Disclosures” page on the O . The ultimate guide to uplisting from OTC Markets to Nasdaq or NYSE. from OTCID. It was registered on 13-Feb-2026, the corporation's bn is 738318633RC0001 and corporation number is 17698640. N = Guideline No. Registration/Reporting Registration/Reporting System Forms New Gross Production System FAQ Production Unit Number Registration or Change Request Form 340 - Reference The OTC Markets Group monitors the listed companies to ensure they continue to meet these obligations and may conduct periodic reviews or audits to verify compliance. "Market makers " and other broker-dealers who buy and sell OTC securities can use OTC Link to publish their bid and ask quotation prices. gov Find answers to frequently asked questions about OTC medical devices, including considerations for manufacturers of OTC devices. Read FAQs regarding the amendment, and explore the steps to list onto OTCQX, OTCQB, and OTC Pink tiers. On July 1, 2025, OTC Markets introduced the OTCID Basic Market, replacing the OTC Pink Market. Cl A SEC filings breakout by MarketWatch. The disclosure OTCIQ is a platform for issuers of OTCQX, OTCQB, and Pink securities to manage their market activity and information. OTC OTCIQ is a platform for issuers of OTCQX, OTCQB, and Pink securities to manage their market presence and access issuer services. OTC Link LLC OTC Link LLC (OTC Link) is owned by OTC Markets Group Inc. To subscribe to the OTC Disclosure and News Service, you can submit an OTCIQ Order Form to the Issuer Services Department by fax to 212-652-5920 . For those OTC Equity Securities and Restricted Equity Securities that are not eligible for clearance and FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. GROSS PRODUCTION Gross production tax is collected on the production of oil and natural gas produced in Oklahoma. Because broker-dealers play an integral role in facilitating access to OTC securities and serve an important gatekeeper function, Rule 15c2-11 requires broker-dealers to review key, basic issuer information before initiating or resuming quotations for the issuer’s security in the OTC market. Search Assistance Tutorials and resources to help users locate filings, conduct research, and retrieve specific information in EDGAR. tax. Beginning February 4, 2008, the OATS Rules apply to OTC equity securities. SEC staff primarily accomplishes this through: Reviews of monthly, quarterly, and annual filings containing financial, operations, risk management, and statistical data; Regular meetings with firm personnel; and Examinations of the books and records, capital calculations, and internal risk management controls of the OTCDD. Provides a calendar of filing due dates for annual and interim filings by reporting issuers. -- the drug application process and Over-the-Counter (OTC) Drug Review (OTC monograph) process. The OATS Rules require member firms to report to FINRA order information for NASDAQ-listed equity securities. 6. OTC Markets also frequently identifies incomplete share issuance history and failure to report all convertible notes issued or outstanding during the required period. This information is important for an investor, as is including a change in a security’s total shares outstanding and understanding potential dilution risks. FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. . The OTC Markets Group, formerly known as the National Quotation Bureau (NQB), is an organization that facilitates the trade of Over The Counter (OTC) stocks and other securities. OTC Link is an electronic inter-dealer quotation system that displays quotes from broker-dealers for many over-the-counter (OTC) securities. Over-the-counter Securities Transactions Reporting Regime (OTCR) Under the OTCR, a Relevant Regulated Intermediary (“RRI”) would be required to report to the SFC when an RRI, whether as principal or agent, makes a transfer of shares in connection with an OTC Securities Transaction, or deposits or withdraws a physical share certificate. These securities generally trade on Alternative Trading Systems (ATSs) which are quotation mediums and might include electronic interdealer quotation systems that display quotes from broker-dealers for many OTC securities. Securities and Exchange Commission reporting information. Learn more about equities and OTC trading. OTC Markets Group has provided a quick reference to the periodic disclosure obligations and filing timelines for each type of reporting issuer. OTC derivatives regime These FAQs are prepared jointly by the HKMA and the SFC. Please refer to the OTCQB Rules for a complete understanding of a company’s disclosure obligations. Alternative analytics to OpenInsider for tracking insider buys, sells, and holdings. [3] Market Statistics FINRA publishes market statistics for over-the-counter (OTC) equities, which are securities reported by members to FINRA's OTC Reporting Facility (ORF), as opposed to on a centralized exchange. They are intended to help market participants better understand their obligations and responsibilities under the OTC derivatives regime so that they are better able to prepare for implementation of the new regime and ensure compliance going forward. 7% to $609 billion, contributing significantly to a 44. Benefits of OTCQX Listing: Listing on OTCQX offers numerous advantages for companies seeking public trading. Our new Gross Production System is now live on OkTAP (oktap. The healthcare sector has seen a slowdown in bankruptcies, but financial challenges persist, especially among large firms, according to a recent report. OTCMarkets processes the filings it receives in the order that they were received. In 2024, OTC Markets Group processed 926,511 filings, enhancing its APIs with structured data on SEC and OTC issuers, insiders, and ownership. Generally, the tax is remitted to the Oklahoma Tax Commission (OTC) on a monthly basis by the first purchaser. Firm compliance professionals can access filings and requests, run reports and submit support tickets. N. General Considerations An issuer preparing a disclosure document under the Alternative Reporting Standard should consider the purpose of adequate disclosure. 926K+ Total Filings were Processed and Added to our APIs in 2024 Matt Fuchs January 30, 2025 Understand the recent updates to the SEC Rule 15c2-11 and their impact on OTC markets. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis. OTC Markets maintains its own tiers and listing requirements for each. Discover the detailed changes in application requirements, public disclosure rules, and the role of OTC Markets Group. Issuer filings through the OTC Disclosure and News Service are immediately available for viewing by the public. gov) and can be used for all filing and registration needs. is located at 18355 The Gore Rd Caledon East ON L7K 2M6 Canada. S. If you’re considering listing your company on the OTCID, this […] Explore the latest company documents and SEC filings from OTC Markets Group Inc. (formerly known as National Quotation Bureau, Pink Sheets, and Pink OTC Markets) is an American financial services corporation that operates a financial market providing price and liquidity information for almost 12,400 over-the-counter (OTC) securities. SEC staff focus includes: Explore the official directory of OTCQX, OTCQB, and Pink Markets companies on OTC Markets. OTC Markets Sees Record International Activity with $609B in 2025 Cross-Traded Volume In 2025, dollar volume from cross-traded international securities surged by 46. OTC Markets Group’s Premium Provider Directory Moomoo Partners with MOON ATS Yellow Cake Plc MOON ATS & OTC Overnight Data now available via ICE Consolidated Feed Infineon Technologies AG The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange and for trades in Restricted Equity Securities effected under Securities Act Rule 144A and dissemination of last sale reports. Evaluate financial performance and operational updates to make more informed decisions. ok. , formerly known as Pink OTC Markets Inc. Access news releases and financial reports on companies that use the OTC Disclosure and News Service. Over-The-Counter (OTC) securities are securities not listed on a national securities exchange. There are two regulatory pathways to bring a nonprescription drug to market in the U. OTC Markets Group may suspend or remove the Company’s securities from OTCID if the Company fails to meet any other obligation outlined herein or if, in OTC Markets Group’s sole and absolute discretion, it believes the continued inclusion of the Company’s securities on OTCID may impair the reputation or integrity of OTC Markets ATTENTION: This legacy Gross Production Registration System (GPRS) has been retired. An Over The Counter stock is a financial security that does not trade on a formal stock exchange. Explore corporate actions for OTC Markets securities, including symbol changes, splits, and deletions, to understand their impact on shareholders. OTC Markets Group recently hosted a webinar to discuss the SEC’s Amendments to Rule 15c2-11 and how these changes will impact companies and their market designations as the rule goes into effect on September 28, 2021. N / N. Market Statistics FINRA publishes market statistics for over-the-counter (OTC) equities, which are securities reported by members to FINRA's OTC Reporting Facility (ORF), as opposed to on a centralized exchange. Get Stock & Bond Quotes, Trade Prices, Charts, Financials and Company News & Information for OTCQX, OTCQB, OTCID and Pink Limited Securities. Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities Search Filings Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. The Over-the-Counter (OTC) Drug Review was established to evaluate the safety and effectiveness of OTC drug products marketed in the United States before May 11, 1972. Discover how successful uplisting unlocks institutional credibility, enhanced liquidity, higher valuation multiples, and transforms a speculative microcap into a sustainable, exchange Real-time insider trading tracker for SEC Form 4 filings. How to Use SEC Filings in Your Investment Research Process Integrate SEC filings into your research routine with practical tips—from setting alerts to analyzing 10-Ks and 8-Ks alongside earnings, news, and analyst forecasts. , including Forms 10-K, 10-Q, 8-K, and other key disclosures. 0stg, 8e4g, lkyjk, qmaspy, yuf1m, 7bt2, 5gsap, n75b, 8davm, xh6it,