YOUR TRUSTED PROVIDER OF SERVICES DESIGNED TO ELEVATE YOUR BUSINESS
YOUR TRUSTED PROVIDER OF SERVICES DESIGNED TO ELEVATE YOUR BUSINESS
More than 950 Canadian-listed companies are leveraging the OTCQX and OTCQB Markets to engage with U.S. investors. These regulated premium markets offer a streamlined approach to diversifying your shareholder base, increasing trading activity in your domestic market, and enhancing global investor relations. Additionally, elevating brand recognition and positioning companies for sustained growth and expansion in a competitive global landscape.
We offer a full suite of tailored services designed to meet your cross-border needs, ensuring a seamless experience from start to finish.
Rule 15c2-11 governs the requirements for quoting securities on OTC Markets, including OTCQX, OTCQB, and Pink Sheets, under FINRA’s oversight. To initiate or resume electronic quotation, a market maker must submit Form 211 to FINRA, along with additional internal approvals to ensure compliance.
With experience handling hundreds of these applications across various sectors, we understand the complexities involved and work to ensure a smooth, efficient process. Our expertise and established relationships maximize the chances of a successful application.
Companies choose us to manage the submission of their OTC application because of our deep expertise and proven track record in navigating the complexities of the process. We have successfully handled hundreds of applications, ensuring compliance with regulatory requirements while avoiding common pitfalls that can delay approval. By partnering with us, companies benefit from our hands-on guidance, personalized support, and commitment to delivering the best possible results.
We help issuers achieve DTC eligibility for their stock, a crucial step in improving trading efficiency. By having your shares electronically deposited with DTC, shareholders save time and money when working with broker-dealers. Many brokerage firms may not accept non-DTC eligible issues, making this process essential for seamless trading.
Issuers choose us to manage their OTCIQ filings and ensure ongoing compliance with OTC Markets standards for international reporting issuers. Our team ensures timely filings, minimizing the risk of penalties or delays. With established relationships and an in-depth understanding of OTC Markets’ regulations, we help issuers maintain compliance. Our proactive approach allows issuers to focus on growing their business, knowing that their regulatory obligations are in expert hands.
The Depository Trust Company (DTC) is a leading securities depository that provides electronic record-keeping and clearing services for publicly traded companies. DTC enables the electronic transfer of securities, simplifying the process of buying, selling, and transferring shares. By facilitating the deposit of stock into brokerage accounts, DTC increases efficiency, reduces costs, and ensures faster transactions for both issuers and shareholders. DTC eligibility is a critical factor for companies looking to enhance liquidity and streamline trading on public markets.
DTC eligibility means that a company's securities can be electronically cleared and settled through the Depository Trust Company (DTC), one of the largest securities depositories in the world. This status simplifies the trading process by allowing shares to be deposited, transferred, and held in electronic form, rather than as physical certificates. For issuers, DTC eligibility enhances the liquidity of their stock, making it more accessible to a wider range of investors. It also reduces transaction times and costs for shareholders, as most brokerages prefer or require DTC-eligible securities for efficient trading. Achieving DTC eligibility is a crucial step for companies aiming to improve the marketability and tradeability of their shares.
Issuers work with us to achieve DTC eligibility because of our extensive experience and proven expertise in guiding companies through the often complex application process. We understand the specific requirements and documentation needed for approval, and we navigate potential obstacles to ensure a smooth and timely submission. Our established relationships with clearing firms and knowledge of regulatory standards allow us to streamline the process, reducing delays and increasing the likelihood of approval. By partnering with us, issuers can enhance their stock's liquidity and appeal to a broader investor base while saving time and avoiding costly errors.
"Working with Uplisting Advisory Services on our DTC application was a game-changer for our company. Their expertise and guidance through the entire process was invaluable. I highly recommend Uplisting Advisory Services to any company looking to streamline the process."
Uplisting Advisory Services Inc.
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