OTC Markets Compliance

Navigating the Regulations of Over-the-Counter Trading

Austin Legal Group is proud to be an OTCQX and OTCQB Sponsor. We have years or experience helping companies comply with the alternative reporting requirements of OTCMarkets.com.

The Over-the-Counter (OTC) markets are a critical component of the global financial system, offering a flexible and cost-effective alternative to traditional stock exchanges for companies seeking to raise capital. However, compliance with OTC market regulations can be complex and challenging, and failure to comply can result in significant legal and financial consequences. At ALG, our team of securities lawyers has extensive experience representing clients in all aspects of OTC markets compliance.

Our services include:

  • OTC Markets Listing: Assistance in obtaining listing on OTC markets, including preparation of disclosure documents and compliance with OTC market requirements and OTCQB certification.
  • SEC Reporting: Guidance on complying with SEC reporting requirements, including preparation and filing of annual and quarterly reports.
  • Corporate Governance: Advice on establishing and maintaining effective corporate governance practices, including board composition and shareholder communications.
  • Attorney Letters: Annual letters required for Adequate Current Information
  • Uplisting to the OTCQX® Best Market or OTCQB® Venture Market, or NASDAQ or other securities exchanges.


At ALG we understand the complex and ever-changing regulatory landscape of the OTC markets, and we are committed to helping our clients navigate these challenges. Our attorneys will work closely with you to understand your business and provide personalized and effective legal solutions to meet your specific needs.

The Latest

Ready to Get Started?

Austin Legal Group attorneys share the common ideal of seeking the best solutions for our clients. We listen first and then advise on the best strategy to achieve our client’s goals.