News & Analysis as of

Over The Counter Derivatives (OTC) Stocks

Morrison & Foerster LLP - JOBS Act

Outcomes of Investing in OTC Stocks

The Division of Economic and Risk Analysis (DERA) of the Securities and Exchange Commission published a study recently that reviews, among other things, the performance of and the returns of investing in OTC stocks. The...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

Brooks Pierce

SEC and FINRA Issue Risk Alert on Penny Stock Companies

Brooks Pierce on

I’m not your legal advisor. And I’m definitely not your investment adviser. But the first rule of penny stock companies should be: do not invest in penny stock companies. I mean, does that seem like a smart thing to do? ...more

Latham & Watkins LLP

Margin Call: Advanced Topics and Practice Points

Latham & Watkins LLP on

In previous installments, we covered the basics of the margin regulations. In our final two installments, we’ll cover a few practice points and explore some of the more complex margin issues (particularly under Regulation U),...more

Butler Snow LLP

Banking Notes - October 2013: Community Bank Stock on the Over-the-Counter Market

Butler Snow LLP on

Over the last 12 months, we have seen an increase in the number of community banks interested in generating liquidity for their shareholders. The reasons for this increase vary: some banks want to create a more liquid stock...more

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