Expanding Market Access. Connecting Issuers Across Borders.
Accessing new capital markets creates opportunities for companies to broaden their investor reach, improve shareholder accessibility and establish a presence in international financial markets. Navigating the regulatory, trading and settlement requirements across jurisdictions, however, requires specialized expertise and coordination.
With extensive experience in securities regulation, exchange requirements and market infrastructure, we work with issuers, broker-dealers, market makers, legal counsel, transfer agents and other market participants to coordinate the many components of a successful cross-border strategy.
Our services extend beyond obtaining a trading symbol or exchange listing. We help issuers address the regulatory, operational and securities settlement requirements that support efficient cross-border trading and ongoing market participation.
Our Cross-Border Services
U.S. Market Access & FINRA Form 211
OTCQX, OTCQB & OTCID Market Services
OTCQX, OTCQB & OTCID Market Services
Establishing a U.S. trading market often begins with satisfying the applicable regulatory requirements for broker-dealer quotations. UPLA coordinates the FINRA Form 211 process for issuers seeking to establish or resume quotations in the U.S. over-the-counter markets.
Working with our network of broker-dealer and market maker relationships, we assist companies throughout the documentation, submission and regulatory review process.
Our services include assessing issuer eligibility, preparing required documentation, coordinating with participating broker-dealers and responding to regulatory inquiries through the review process.
OTCQX, OTCQB & OTCID Market Services
OTCQX, OTCQB & OTCID Market Services
OTCQX, OTCQB & OTCID Market Services
The OTC Markets provide Canadian and international companies with opportunities to establish a U.S. trading presence without necessarily pursuing a traditional U.S. exchange listing. Our team assists issuers with OTCQX and OTCQB applications, OTCID quotation requirements, market eligibility assessments and ongoing compliance support.
We work with companies to evaluate the appropriate market based on their existing exchange listing, corporate structure, disclosure obligations and capital markets objectives. Our team manages the application process, coordinates required documentation and works directly with OTC Markets and other relevant service providers.We also support issuers with market upgrades, ongoing reporting requirements, corporate actions and regulatory changes affecting their U.S. quotation.
DTC Eligibility & U.S. Securities Settlement
DTC Eligibility & U.S. Securities Settlement
DTC Eligibility & U.S. Securities Settlement
Obtaining a U.S. trading symbol does not automatically mean a company's securities can be efficiently deposited, transferred or settled through U.S. brokerage accounts. The Depository Trust Company (DTC) provides the infrastructure through which many securities transactions are electronically settled in the United States. DTC eligibility can be an important component of improving the accessibility and transferability of an issuer's securities for U.S. market participants.
Our team has extensive experience coordinating DTC eligibility applications for Canadian and international issuers, including both newly issued securities and existing securities seeking eligibility. Our services include application coordination, supporting documentation, transfer agent requirements, broker and clearing relationships, and assistance with resolving eligibility and deposit-related issues.
We also assist issuers with DTC-related corporate actions, FAST and DWAC arrangements, and initial deposit requirements.
International Trading
DTC Eligibility & U.S. Securities Settlement
DTC Eligibility & U.S. Securities Settlement
Companies seeking broader international market access may benefit from establishing trading opportunities beyond North America. We assist eligible issuers exploring trading on other international exchanges, working with appropriate market participants and service providers to coordinate the quotation process and associated requirements. Our services help companies assess international trading opportunities and understand the regulatory, documentation and operational considerations involved in accessing additional markets.
Beyond the Listing: A Coordinated Market Access Strategy
A successful cross-border strategy requires more than an exchange listing or U.S. quotation. Issuers must also consider how their securities will be held, transferred, cleared and accessed by brokers and investors in different jurisdictions.
Our team takes a coordinated approach to market access, considering the relationship between trading eligibility, securities settlement, regulatory compliance, broker participation and ongoing issuer obligations. We work with companies to identify potential barriers to cross-border trading and develop practical solutions that support their broader capital markets objectives.
Our goal is not simply to complete an application, but to help issuers establish the necessary foundation for effective market participation.
why work with us
Capital markets processes often involve multiple regulatory bodies, intermediaries and service providers, each with distinct requirements and responsibilities.
Our leadership team brings an understanding of how these processes work, the documentation required and the issues that can arise along the way. We provide direct, hands-on support and maintain established relationships across the capital markets industry. From the initial assessment through regulatory review and ongoing issuer requirements, we work closely with management teams to provide clear communication, practical guidance and coordinated execution.
We recognize that no two issuers are alike. Our services are tailored to each company's market objectives, existing trading structure and stage of development.
Whether your company is seeking its first U.S. quotation, pursuing DTC eligibility, evaluating a Canadian exchange listing or considering international trading opportunities, UPLA can help assess the available pathways and coordinate the next steps.
Contact our team to discuss your company's capital markets objectives and how we can assist.
Uplisting Advisory Services Inc.