Markets
Issuer Regulation
The rules and obligations companies must meet to issue and trade securities fairly on the NASD OTC market.
What Issuers Must Maintain
Core compliance areas for admitted issuers.
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Annual reporting
Audited financial statements published within the required window.
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Quarterly updates
Quarterly performance and shareholder updates.
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Material event notice
Prompt disclosure of board changes, M&A, and corporate actions.
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Corporate actions
Coordinated disclosure of dividends, bonus, and rights through your registrar.
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Insider conduct
Information barriers and trading-window enforcement.
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Records retention
Maintenance of share registers and disclosure records.
Questions about your obligations?
Our legal and compliance team can advise on the right procedure.