Questions tagged [over-the-counter]
The over-the-counter tag has no usage guidance.
13
questions
2
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1
answer
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Is it important for OTC-traded companies to have independent directors? [closed]
Most companies that are traded in the US over-the-counter stock market do not have independent directors, but some do. Should the existence of independent directors in OTC companies be considered a ...
- 16.9k
0
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1
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75
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How to hedge/protect my stocks that do not have an option chain?
I've recently invested in a couple of OTC stocks (1st time exploring the OTC market) and unfortunately there's no option chain available. Question is, how can I protect those stocks in particular from ...
- 5
1
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0
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139
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Can brokers execute my OTC stock orders at inferior prices by "trading through"?
I am aware that FINRA-registered broker-dealers have to follow FINRA Rule 5310 (Best Execution and Interpositioning). But are OTC stocks (OTCQX, OTCQB, OTC Pink) subject to the Order Protection Rule ...
- 16.9k
0
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1
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49
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Are there interest rate swaps that are not OTC? [closed]
a. Are there any interest rate swaps that are not classified as OTC ? Could you please give an example. For example: spot starting, benchmark starting, broken dated, etc
b. Where is that ...
- 103
7
votes
1
answer
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Which should I buy: F shares or ADRs?
Given the choice between a stock with a five-letter ticker that ends with "F" and one that ends with "Y", which should I buy? Lots of foreign companies have both F-shares and Y-...
- 16.9k
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0
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1k
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How do OTC Pink securities to move into the Grey Market?
(Note: I'm new to the market mechanisms of the OTC market)
On any given day, there are usually securities that leave the OTC Pink market and fall into the Grey Market. For example:
Fri, Jul 03, 2020 ...
- 16.9k
0
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0
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58
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Why is the number of OTC securites different between OTC Markets and FINRA?
According to OTC Markets (https://www.otcmarkets.com/research/stock-screener), there are currently 16,610 quoted securities on its system :
However, according to FINRA (https://otce.finra.org/otce/...
- 16.9k
1
vote
2
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326
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Why are there no stocks quoted on the OTC Bulletin Board (OTCBB)?
I went to the OTCBB's symbol directory page to find the list of stocks quoted on the OTCBB. To my surprise, there are no securities quoted on the OTCBB:
The symbol directory returns only one result, ...
- 16.9k
0
votes
0
answers
103
views
Do shareholders of OTC pink sheets "dark" companies receive financial information?
On the OTC Pink Sheets, there are many "dark" companies (i.e. OTC Pink No Information). These are companies that have decided to stop filing certain documents with the SEC (e.g. Form 10-K, ...
- 16.9k
1
vote
2
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114
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What is a "forced buy-in" for illiquid OTC stocks?
I was reading about the illiquid fee policies of a stock broker: https://www.firstrade.com/content/en-us/customerservice/faqs/illiquidfees/. Excerpt:
Forced Buy-Ins:
Your sale of a low-priced ...
- 16.9k
0
votes
1
answer
117
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How do stock manipulators gain control of dormant shell companies traded on over-the-counter markets?
I was reading this official SEC press release: SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams. Excerpt:
The existence of empty ...
- 16.9k
2
votes
2
answers
3k
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What is the difference between ADRs and New York Registry Shares?
I was looking at quotes of securities traded on OTC Markets:
Look at the "SEC TYPE" column.
Both ADRs and New York Registry Shares (NYRS) seem to be used by foreign-listed securities to ...
- 16.9k
3
votes
1
answer
258
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Does the current Dodd-Frank Act ban speculation in OTC swaps?
Does the current version of the Dodd-Frank Act ban speculative positions in non-exchange cleared (OTC) swaps?
It does not refer to any specific type of swap, but my current understanding of the bill ...
- 420