Category: Issuer Content

What Does this Mean and How Does it Affect OTC Businesses? In September 2020, the Securities and Exchange Commission (SEC) announced an amendment to Exchange Act Rule 15c2-11, which the commission describes as “an important component of the over-the-counter (OTC) market regulatory structure.” The amendment has not been modified in nearly 30 years. With new […]

Uplisting plays a very important role in both national and global capital markets. Uplisting—theprocess of becoming listed on a national exchange (NYSE, NASDAQ, CSE, etc.)—enables growingfirms to access deeper capital markets, increase visibility, and possibly restructure, as needed. The road to uplisting can take a considerable amount of time. Firms are often kept waiting forten […]

The coronavirus (COVID-19) outbreak has impacted seemingly every industry in our economy. The financial industry, in particular, has experienced a wave of groundbreaking changes over the course of the past year. In addition to increased levels of volatility, members of the financial and investment community have also faced challenges finding ways to communicate risk effectively, […]

Uplisting to a senior exchange such as the NASDAQ or the NYSE AMEX is the dream for all microcap companies and the entrepreneurs that run them. Uplisting can be a transformative event for a publicly traded company for all the same reasons a traditional IPO can be.

Often more associated with larger firms, corporate governance is just as important for small and microcap companies. By adhering to high governance standards, small caps are better placed to achieve their goals and attract new investment. The legal fiduciary responsibilities of a director of a small cap public company and a director of a large […]

The world as we all know it has changed dramatically in 2020 due to the COVID-19 pandemic. As this is a crisis without a clear playbook, there are a lot of lessons that are being learned along the way by issuers managing corporate investor relations programs. Perhaps the most important one is that successfully managing […]

There are a variety of different investing philosophies within the realm of sensible investing. One method that is becoming increasingly important is ESG investing. The acronym “ESG” stands for environmental, social, and governance. ESG criteria is now being used more and more alongside financial factors in the investment decision-making process by the professional investment community. […]

The worldwide Coronavirus Pandemic has thrown many businesses into a tailspin by disrupting workflow and creating a drastic decline in commerce for a wide range of industries. Businesses have been faced with the challenge of instituting and enforcing new operating policies and procedures that keep workers safe including stay-at-home work policies and many have had […]