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OTC Markets Group Introduces Small Cap Listed Compliance Product

Traders Magazine Online News, September 21, 2018

John D'Antona Jr.

OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today introduced a first of its kind compliance product designed to provide broker-dealers and compliance and risk management teams with an efficient and turnkey data set to standardize the process for evaluating over 1,800 sub $500 million market cap equities listed on a national stock exchange.

The new Small Cap Listed Compliance Product allows firms to enhance their due diligence and establish a standardized framework to analyze securities across the listed and OTC equity small cap market--providing end users with a more streamlined approach for evaluating the significant number of small cap listed securities. The file also provides comprehensive active and historical stock promotion data for small cap listed securities.

“OTC Markets Group recognizes its compliance leadership role for the public small cap markets,” said Matthew Fuchs, Executive Vice President of Market Data and Strategy at OTC Markets Group.  “We are extending our compliance coverage in order to help AML and risk management teams holistically cover the US small cap market, which will benefit investors, market participants and small-cap issuers.”

Key Compliance Data points include:

  • Active and Historical Stock Promotion Data
  • Penny Stock Status
  • OTC Graduate Data
  • Micro Cap Status
  • Security Name Change History
  • Current and Former Shell Status
  • Stock Split History

Delivered in pipe-delimited format, twice daily at 5:00 am (ET) and 7:00 pm (ET), the file is licensed at an enterprise level designed for broker-dealers, AML, compliance and risk management professionals looking to more effectively right-size small cap listed equity compliance.

OTC Markets Group’s Market Data provides mission-critical quote and trade data, as well as company and security information on OTCQX, OTCQB and Pink securities to the trading, investment, legal and regulatory communities.  The Company’s data products include real-time data, end-of-day data, historical quote data, company financial data, security master data, corporate reference data and compliance data.  OTC Markets Group also provides data through leading market data redistributors.  For more about OTC Markets Group’s market data products, including connectivity information, visit  

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