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OTC Markets Newsletter
OTC Markets Group News           JANUARY 2016
OTC Markets Group is the Global Leader in Exchange Graduates — Again!

One of the yardsticks for measuring the success of a small and global company market is the number of issuers it "graduates" to a senior exchange. We're proud to say 60 U.S. and global companies used our markets to grow their businesses and upgrade to a NASDAQ, NYSE MKT or New York Stock Exchange listing during 2015. That compares to nine graduates from the TSX Venture Exchange to the Toronto Stock Exchange and four graduates from London's AIM market to the London Stock Exchange.

Market 2015 Graduates to Main Boards
OTCQX, OTCQB and Pink — US 60
TSX Venture — Canada 9
LSE AIM Market — UK. 4

Over the past five years, nearly 400 companies have used OTC Markets Group — in particular our OTCQX Best and OTCQB Venture Markets — as a springboard to a national securities exchange listing, making us the undisputed global leader in exchange graduates.

Whether a growing company graduates from our markets to a national securities exchange or chooses to use OTCQX and OTCQB to save management's time and shareholders' money as they focus on growing their business, our focus is to provide transparent, efficient and cost-effective public trading markets that can help companies raise capital, expand their shareholder base and increase their visibility for the long-term.

We look forward to bringing you more new products, enhancements and features to continue to enhance your public market in 2016 and beyond. Stay tuned!

Meanwhile, best wishes to you — our valued companies, advisors, broker-dealers, partners and investors — for a fruitful and prosperous new year!
[photo] Our first OTCQX Video for 2016 features an interview with Úrsula Wilhelm, Head of Investor Relations for Grupo Financiero Banorte, S.A.B. De C.V. (OTCQX: GBOOY; GBOOF), Mexico's third largest financial group. Jason Paltrowitz, OTC Markets Group EVP, and Úrsula discuss Banorte's product offering, the Mexican economy and Banorte's positive outlook. In 2015, Banorte celebrated its fifth anniversary of trading on the OTCQX Best Market. Úrsula explains the important role trading on OTCQX plays in Banorte's ADR strategy. Our thanks to Úrsula for an informative conversation.
[photo]Get to Know Your Community: Stephen Nightingale, Director of Investor Relations, Britvic plc

This month, we speak with Stephen Nightingale, Director of Investor Relations for OTCQX company Britvic plc (LSE: BVIC; OTCQX: BTVCY). The U.K. based soft drinks business, which operates market-leading brands in Europe and is the bottler for Pepsi in the UK and Ireland, has grown its presence in the U.S. market over the past six years. Mr. Nightingale talks to us about long term prospects for growth in the U.S. as well as Europe and Brazil, where the company has recently acquired leading brands.

OTC Markets Group (OTCM): Tell us about Britvic. What do you do?

Stephen Nightingale: Britvic is a soft drinks business based in the U.K. and can trace its roots back to the mid-19th century.  It was listed on the London Stock Exchange in 2005 and has since expanded into Ireland, France, the USA and, more recently, Brazil. We have a range of market-leading brands in the kids, family and adult categories, including Robinsons, Fruit Shoot, Teisseire, Maguary and Ballygowan. While they may not be household names in the U.S., they are instantly recognizable in their domestic markets. In the U.K. and Ireland we are also the bottler for PepsiCo, offering consumers Pepsi, 7UP, SoBe and Mountain Dew, amongst other brands.

Click here to read the full interview.
OTCM: What differentiates Britvic from your competition and what is your strategy for growth going forward?

Mr. Nightingale: The breadth of our portfolio, with both leading carbonated and still brands, ensures that we can offer consumers and retailers an unbeatable offering. Our growth strategy is very clear with four defined pillars:

Drive profitable growth in our core markets
International expansion, focused on the kids, family and adult categories
Step-change our business capability, and
Build trust and respect in our communities.

OTCM: Britvic has been making forays into the U.S. and Latin American markets. Can you tell us more about that?

Mr. Nightingale: We have been present in the U.S. market for the past six years and have seen our kids' brand, Fruit Shoot, become the No. 2 kids' juice brand in the convenience and gas (C&G) channel. We have a longstanding relationship with PepsiCo and a number of the independent Pepsi Bottlers to expand Fruit Shoot "single-serve," and we will be launching a multi-pack in the grocery channel with our partner, Advantage Sales and Marketing, in 2016. This represents an exciting opportunity for us as we enter a market that is much bigger than the C&G channel.

In September last year, we acquired a small business in Brazil. We acquired two market-leading brands, Maguary and DaFruta, that are the No. 1 and No. 2 brands in the liquid dilutes category. These are family brands and lead a category in which we have unparalleled expertise and experience. While macroeconomic conditions in Brazil are currently very challenging, we believe the longer-term opportunity for us is significant and we have committed to doubling EBITDA by 2020. There are many parallels to the acquisition we made in France in 2010, where we have since doubled profits despite the tough macros in France.

OTCM: Britvic moved its ADRs to the OTCQX market in April 2010. What has been your experience trading on OTCQX in the past 5 years and what do you see are the benefits of having a sponsored Level 1 ADR traded on a transparent, public market like OTCQX?

Mr. Nightingale: You have to be patient as it takes time for a European mid-cap to build a meaningful ADR program; it is unlikely to be an overnight success. You have to commit time and effort to the cause. Having a sponsored Level 1 program on OTCQX is key; it gives you access to a broader market, allows higher levels of participation than not having one, and allows you to engage with the market effectively.

OTCM: What else do you want U.S. investors to know about Britvic?

Mr. Nightingale: While trading conditions in our European markets are currently challenging, the long-term prospects for this business are excellent. We have a clear strategy for growth, a strong management team and market-leading brands. I would encourage investors to have a look at the story and get in touch with the Britvic IR team and allow us to present our investment case!

Click to close.

Register for the upcoming Virtual Investor Conference featuring OTCQX Banks

Join us on February 4, 2016 at VirtualInvestorConferences.com for live webcast presentations by senior executives from fourteen OTCQX-traded banks as they showcase their investment stories and answer questions from investors.

Investors will be able to interact directly with the presenters and other participants, as well as watch pre-recorded materials, download annual reports, investor kits, surveys and other information from a virtual "exhibit hall."

More than 1,100 attended the first conferences in our series, featuring OTCQX community banks and life science companies. View the schedule and register here.
Light Up The Market

BASF SE (Frankfurt Stock Exchange: BAS; OTCQX: BASFY, BFFAF) Lights up the Market!

Follow us on Twitter at @OTCMarkets to keep up with OTCQX companies Lighting Up Their Market.

OTCQX companies Light up the Market to celebrate joining our Best Market!

Avalon Rare Metals Inc. (OTCQX: AVLNF)
Aytu BioScience (OTCQX: AYTU)
Drone Aviation Holding Corp. (OTCQX: DRNE)
First Federal of Northern Michigan Bancorp, Inc (OTCQX: FFNM)
Intertain Group Ltd (TSX: IT; OTCQX: ITTNF)

Kansas City Life Insurance Co. (OTCQX: KCLI)
Nevada Exploration (TSX-V: NGE; OTCQX: NVDEF)
Snipp Interactive Inc (TSX-V: SPN; OTCQX: SNIPF)
Tikcro Technologies Ltd. (OTCQX: TIKRF)
Monthly Trade Summary

December 2015

Number of
  Monthly $
  Monthly $ Vol
per Security
  2015 $  
OTCQX® 489   $3,042,749,043   $6,222,391   $41,851,519,684
OTCQB® 1,015   $896,561,861   $883,312   $19,587,947,695
Pink® 8,346   $11,391,400,833   $1,364,893   $134,805,801,450
Totals 9,850   $15,330,711,737   $1,556,417   $196,245,268,829
*Data as of December 31, 2015
Events, Webinars & Sponsorships
80th Annual STANY Conference and Dinner - New York, NY (April 7, 2016)

28th Annual ROTH Conference - Dana Point, CA (March 13-16, 2016)

IR Magazine Awards, Canada 2016 - Toronto, Canada (February 4, 2016)

Acquire or be Acquired Conference - Phoenix, AZ (January 31 - February 2, 2016)

AGC Partners Conference - New York, NY (January 21, 2016)

NobleCon12 2016 - South Florida (January 17 - 20, 2016)

Contact us if you are interested in meeting us at one of these events.
IEX's Exchange Quest Spurs a 'Flash Boys' Fight With Citadel - Bloomberg (January 21, 2016)

Elio Motors Regulation A+ Offer Nears $16 Million. Scheduled to Close February 1st - Crowdfund Insider (January 12, 2016)

Bitcoin Investment Trust Surges Amid Stock Volatility - Bitcoinist (January 12, 2016)

Financial performance, disclosure elevate Smith-Midland in OTC trading markets - Concrete Products (January 11, 2016)

EZTD now trading on OTCQX - HedgeWeek (January 4, 2016)

Year in Review 2015: Biggest Headlines in the MicroCap Space - StockNewsNow.com (December 31, 2015)

Paragon Offshore Begins Trading On OTC Exchange - Oil & Gas Investor (December 29, 2015)

OTC Markets adds Options to provide real-time market data - Automated Trader (December 21, 2016)

OTC Markets Group raises standards for U.S. OTCQX hopefuls - Bankless Times (December 18, 2015)
Changes to our rules for U.S. companies, U.S. banks and international companies on our OTCQX® Best Market became effective on January 1, 2016. The new rules streamline the rules and raise the eligibility requirements for companies to trade on OTCQX to better align them with established regulatory standards, such as state Blue Sky laws, as well as exchange industry best practices. Companies on OTCQX as of December 31, 2015 have until 2017 to meet the new requirements.

With the changes we are making, our goal is to further elevate the quality of the OTCQX market as well as to improve regulatory recognition of OTCQX as an investable market and make it easier for investors and our network of broker-dealers to analyze, value and trade these securities.

View recent press coverage on the OTCQX rule changes:

These are the New Rules to Trade on OTCQX - Equities.com

OTC Markets Group raises standards for U.S. OTCQX hopefuls - Bankless Times

OTC Markets Boosts Standards for OTCQX as it Pushes Upmarket - Crowdfund Insider

OTC Markets Group introduces new governance standards for US companies - IR Magazine online
OTC Markets Multicast Data Feed

A new version of the OTC Markets Multicast Data Feed specification (version 3.3) is now available: Version 3.3 | Version 3.3 (Changes Marked)

The new version of the data feed has been available in our certification environment as of Monday, November 16, 2015. The deployment date for the new version is scheduled for Thursday, February 25, 2016 after 5PM.
Regulation & Compliance Updates
SEC Requests Public Comment on Transfer Agent Regulation Proposal and Concept Release

On December 22, the SEC issued an Advance Notice of Proposed Rulemaking and Concept Release requesting public comment, including specifically from broker-dealers and public companies, on its review of transfer agent regulations. The Release includes a summary of the history of the national clearance and settlement system, the role of transfer agents, and the current state of the SEC's transfer agent rules. While the commission is seeking comment on a broad range of Transfer Agent related issues, they are also looking at more specific comments in the following areas: registration and annual reporting requirements, written agreements between Transfer Agents and issuers, safeguarding funds and securities, restricted securities/compliance with federal securities laws, cybersecurity and information technology. The press release can be found here and the concept release can be found here.

SEC and FINRA Issue Their Annual Priorities for 2016

The SEC and FINRA recently issued their annual Examination priorities for 2016. Both the SEC and FINRA have indicated that there will be a particular highlighted focus on AML oversight, liquidity controls, conflict of interests and cybersecurity. The SEC indicated that it will again be focused on protecting retail investors and investors saving for retirement. The SEC will also focus on market-wide risks and its mission to protect the fair, orderly and efficient markets. FINRA continues to emphasize the importance of firm culture of compliance and ethics. Additional areas of focus for FINRA include sale practice compliance, supervision/oversight and risk management. The full National Exam Program Examination Priorities can be found here and FINRA's 2016 Regulatory and Examination Priorities Letter can be found here.
Congratulations to the latest companies to graduate from our markets to a U.S. exchange listing.

The OTCQB Venture Market

Naked Brand Group, Inc. (NASDAQ: NAKD)
Trinity Place Holdings Inc. (NYSE MKT: TPHS)
16 companies qualified for the OTCQX Best Market in December.

Athens Bancshares Corp. (OTCQX: AFCB)
Avalon Rare Metals Inc. (OTCQX: AVLNF)
Aytu BioScience, Inc. (OTCQX: AYTU)
First Farmers Financial Corp (OTCQX: FFMR)
First Federal of Northern Michigan Bancorp, Inc. (OTCQX: FFNM)
Hemostemix Inc (OTCQX: HMTXF)
International Shipholding Corp. (OTCQX: ISHC)

Nevada Exploration, Inc. (OTCQX: NVDEF)
Paragon Offshore PLC (OTCQX: PGNPF)
Royal Nickel Corp. (OTCQX: RNKLF)
Smith-Midland Corp. (OTCQX: SMID)
Snipp Interactive Inc (OTCQX: SNIPF)
The Intertain Group Limited (OTCQX: ITTNF)
Tikcro Technologies Ltd. (OTCQX: TIKRF)
Zoned Properties, Inc. (OTCQX: ZDPY)
A complete list of OTCQX companies is available on www.otcmarkets.com.

13 companies were verified for the OTCQB Venture Market in December.

AlphaPoint Technology Inc (OTCQB: APPO)
American BriVision (Holding) Corp. (OTCQB: ABVC)
Cantabio Pharmaceuticals Inc. (OTCQB: CTBO)
Crownia Holdings Ltd. (OTCQB: CWNHF)
Digerati Technologies, Inc. (OTCQB: DTGI)
Elcora Resources Corp (OTCQB: ECORF)

Gold Lakes Corp. (OTCQB: GLLK)
Marapharm Ventures Inc. (OTCQB: MRPHF)
Nimtech Corp. (OTCQB: NMTT)
Paradigm Resource Management Corp. (OTCQB: PRDC)
Rhino Resource Partners LP (OTCQB: RHNO)
RX Safes, Inc. (OTCQB: RXSF)
Contact Us
To learn more about OTC Market Group visit us at www.otcmarkets.com // +1.212.896.4420 // issuers@otcmarkets.com
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