Reporting Requirements In contrast to securities listed on U.S. stock exchanges, securities on the OTCQX and OTC Pink marketplaces may trade without being registered with the SEC. Securities trading on the OTCQB marketplace must be in compliance with their SEC reporting requirements or current in their reporting to banking or insurance regulator.
OTC Pink companies may publish disclosure in accordance with the OTC Pink Basic Disclosure Guidelines. These requirements are designed to give an investor the basic information a broker-dealer must maintain under Exchange Act Rule 15c2-11 in order to initiate a quote in a security on the OTCQX, OTCQB or OTC Pink marketplaces.
A Company's Obligations on the OTCQX, OTCQB and OTC Pink Marketplaces Financial Reporting - Many companies are not subject to SEC registration requirements, and therefore, do not make regular filings of financial information and other corporate events with the SEC. Companies are not required to provide financial information to OTC Markets Group; however in order for investors to make informed trading decisions, many companies elect to provide disclosure. For a detailed explanation of SEC registration and reporting requirements and the exemptions available from those requirements, please see the SEC's Small Business Question and Answer Page
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