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otcQX

otcQX has the only issuer listing process in the over-the-counter market and limits inclusion to strong companies with credible disclosure
otcQX is the premier OTC market tier in the U.S. for trusted companies that want to distinguish themselves from the thousands of other companies trading over-the-counter. otcQX companies benefit from greater visibility and access to investors, with the option of complying with otcQX's alternative Disclosure Guidelines rather than the more comprehensive traditional exchange standards.

otcQX considers the particular needs of smaller U.S. companies while creating a process designed to encourage investor interest. By using a community-based listing process that requires each company to be sponsored by a qualified, third-party Designated Advisor for Disclosure (DAD), companies can provide investor disclosure through SEC registration and reporting, or can follow the otcQX principles-based disclosure guidelines. otcQX is the only highly visible electronic trading venue in the U.S. that gives companies the choice of SEC registration.

otcQX Is a Better Market Tier

  • For growth companies that desire a future listing on NASDAQ or NYSE
  • For seasoned public companies that may no longer benefit from SEC registration and reporting

Companies are known by the company they keep. otcQX companies benefit from being part of a growing market tier with increased U.S. investor visibility and association with large, globally recognized companies

Requirements for Listing

  • Market maker priced quotes on Pink Quote (98% of all OTCBB securities are already quoted on Pink Quote)
  • Ongoing business operations (no shell, bankruptcy, blank-check or development stage companies)
  • Minimum $0.25 Bid price
  • Inclusion in S&P or Mergent Manual
  • 50 round lot shareholders
  • Retain a Designated Advisor for Disclosure (DAD)
  • Companies listed on the higher PremierQX tier must also have 100 round lot shareholders, a $1 Bid price, hold annual shareholder meetings and meet the financial standards for continued listing on the NASDAQ Capital Market
  • Provide disclosure to the marketplace via the SEC's EDGAR system or pursuant to otcQX guidelines (a more tailored approach to shareholder reporting that does not require SOX 404 internal control audits among other items)
  • Annual U.S. GAAP financials audited by a PCAOB registered audit firm

Listing on otcQX offers a more trusted listing venue, greater visibility and a better platform to provide disclosure to investors and expand a company's shareholder base. A listing on otcQX includes additional complimentary services to promote market transparency, facilitate price discovery and enhance liquidity.

Investor Relations Services

  • OTC Disclosure and News Service - a powerful web-based IR tool that gives companies the ability to disseminate financial reports, news and other company disclosure to U.S. investors
  • Real-Time Level 2 Quote Montage - Detailed quote and trade information available on www.otcqx.com and company IR websites, which facilitates price discovery
  • Blue Sky Advisory Service - Experienced, professional guidance on complying with respective state securities laws ("Blue Sky Laws") in the U.S.
  • OTC Market Report - a concise summary of a security's market performance, delivered weekly via email to designated executives and stakeholders
  • Assigned Customer Service Manager

otcQX Application Process

Companies must submit an application and meet minimum criteria to list on otcQX. The following requirements are part of the listing process:

otcQX Fees

Application Fee: $5,000

Annual Listing Fee: $12,600

Contact otcQX

For more information, please visit www.otcqx.com or contact:

otcqx@pinkotc.com

(212) 896-4420 or (800) 732-7868