A comprehensive, data-driven audit of your public company’s regulatory health, designed to identify potential red flags before they create SEC, FINRA, DTC, or OTC Markets concerns.
For an OTC issuer, a compliance issue can quickly become more than a technical problem; it can affect quotation status, investor confidence, and access to capital. With Rule 15c2-11, OTC Markets disclosure standards, and broker-dealer review practices all in play, maintaining adequate current public information requires ongoing attention. Whether you are preparing for a major financing, defending against a short-seller report, or planning an uplisting, a structured assessment of your regulatory standing can be useful.
The 100-Point OTC Compliance Scorecard is our proprietary diagnostic tool. We conduct a targeted review of your corporate, securities, and reporting history, providing a numerical score and a prioritized roadmap to address gaps in your compliance framework.
Assessing the accuracy and timeliness of your 10-K, 10-Q, and 8-K filings, and assessing whether your public disclosures support the applicable current-information standard.
Investigating your company’s historical operations to determine if you carry the “Shell Company” designation, which can materially affect whether Rule 144 is available for resales.
Reviewing share issuances, including issuances for services and convertible debt conversions, and assessing legend-placement and legend-removal issues.
Evaluating board independence, committee structures, and internal controls against the applicable standards for OTCQB, OTCQX, or, where relevant, national-exchange readiness.
We review your EDGAR filings, OTC Markets disclosure room, board minutes, and transfer agent records to build a 360-degree view of your issuer health.
We apply our 100-point matrix to your data, identifying high-priority issues that may contribute to quotation limitations, OTC Markets flags, DTC concerns, or regulatory questions.
You receive a detailed report with your compliance score and a clear, defensive strategy to remediate high-risk areas before they become harder and more expensive to address.
A public board needs more than broad legal observations. The scorecard provides a practical measure of the company’s risk areas, helping management track remediation over time and communicate progress in an appropriate way.
A shell-company history or designation can create significant resale and marketability issues. We use our scorecard to identify the evidence and issues that may be needed to support a non-shell analysis or related opinion, while recognizing that resale and trading outcomes depend on the applicable rules, facts, and market participants.
If you are aiming for a higher OTC tier or a national exchange, the scorecard can serve as an early gap review. We identify governance, disclosure, and reporting issues that may need attention before the company moves further into an uplisting process.
In the public markets, officers and directors are personally exposed. Our scorecard can help create a record showing that the board is proactively auditing and improving the company’s compliance culture.
The 100-Point Scorecard specifically checks if your company has the required “Current Information” publicly available. If this area is deficient, quotation eligibility and market visibility can be affected.
The Scorecard itself is a diagnostic tool, but it identifies the exact evidence (assets, operations, and historical data) that may support a legal analysis, attorney letter, or OTC Markets update regarding shell-company status.
The results are delivered exclusively to the company’s management or Board of Directors. As your legal counsel, the review is handled through counsel and may be protected by attorney-client privilege, depending on the facts and communications involved, allowing you to identify and address problems discreetly.
Kindly complete the form provided below
Download our FREE guide and take the
first step in building a successful business