![](http://investorshub.advfn.com/images/default_ih_profile2_4848.jpg?cb=0)
Tuesday, December 20, 2016 10:06:24 PM
The Basics
The Financial Industry Regulatory Authority and the U.S. Securities and Exchange Commission regulate OTC Link LLC. OTC Link LLC, a wholly owned subsidiary of OTC Markets Group, is a FINRA member broker-dealer and operates OTC Link® ATS, an SEC-registered electronic quoting and trading platform for OTCQX, OTCQB and Pink securities.
OTC Markets Group Inc. does not regulate the OTCQX, OTCQB and Pink markets. The company is neither a stock exchange nor self-regulatory organization (SRO) and is not itself regulated by FINRA or the SEC. All broker-dealers that trade OTCQX, OTCQB and Pink securities are FINRA members, registered with the SEC, and are also subject to various state securities regulations. In addition, companies with SEC-registered securities are regulated by the SEC.
Complaints regarding companies should be directed to the SEC, while complaints regarding broker-dealers or other investment professionals should be directed to FINRA. More information about specific regulations is covered in Part 3 – Regulation.
Bantec's Howco Short Term Department of Defense Contract Wins Will Exceed $1,100,000 for the current Quarter • BANT • Jun 25, 2024 10:00 AM
ECGI Holdings Targets $9.7 Billion Equestrian Apparel Market with Allon Brand Launch • ECGI • Jun 25, 2024 8:36 AM
Avant Technologies Addresses Progress on AI Supercomputer-Driven Data Centers • AVAI • Jun 25, 2024 8:00 AM
Green Leaf Innovations, Inc. Expands International Presence with New Partnership in Dubai • GRLF • Jun 24, 2024 8:30 AM
Bemax Inc. Positions to Capitalize on Industry Growth with New Improved Quality of Mother's Touch® Disposable Diapers • BMXC • Jun 24, 2024 8:00 AM
Last Shot Hydration Drink Announced as Official Sponsor of Red River Athletic Conference • EQLB • Jun 20, 2024 2:38 PM