OTC Secrets

An introduction to SEC filings – Part II

     Once a private company files a registration statement with the SEC and completes the requirements for an exchange listing, it may list on a national exchange if it meets the exchange's requirements.  If it doesn't qualify, it may become eligible to trade on OTCMarkets'...

An introduction to SEC filings – Part I

  Until the Securities Act of 1933 was passed by Congress, public companies had no official obligations to their investors or to the general public.  If they wished, they could publish and distribute periodic reports containing information about themselves, but there was no oversight by the...

OTC Stocks vs Exchange Listed Issues, Big Boards

OTC Stocks vs Exchange Listed Issues, Big Boards Some investors have only exchange-listed issues in their portfolios; no doubt many of them still use full-service brokerages.  That's how their parents did it.  But more and more people looking to the markets to supplement income and save...