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OTC Markets Newsletter - March 2012
March 2012

OTC Link LLC Gains FINRA Membership

OTC Link LLC (OTC Link®), a wholly owned subsidiary of OTC Markets Group, has been approved as a broker-dealer member of the Financial Industry Regulatory Authority™ (FINRA™). OTC Link next plans to register with the SEC as an Alternative Trading System (ATS) and take over operation of our interdealer quotation and messaging system that serves broker-dealer subscribers.

We worked diligently with FINRA and SEC staff throughout the membership process to ensure that FINRA membership and OTC Link’s anticipated future status as an ATS will not require us to make any fundamental changes to the current OTC Link network-based business model. Becoming a FINRA and SEC regulated trading system will not entail any changes to the trading process for our broker-dealer subscribers or for OTC traded companies.

OTC Markets Group anticipates that OTC Link will begin operating as an ATS late in the second quarter of 2012, and will operate the OTC Link interdealer quotation and messaging system, for over 10,000 equity securities.

OTC Markets Group’s mission is to operate open, transparent and connected marketplaces that link broker-dealers and provide investors with the information they need to intelligently trade any OTC security at the best possible price. OTC Link’s FINRA membership will allow OTC Markets Group to continue that mission, serving its 160+ broker-dealer subscribers as a regulated entity without altering their user experience.

For more information, please view the entire release here: OTC Link LLC Gains FINRA Membership. Please contact us anytime with questions.

OTC Events

OTC Markets Group has attended or will be participating in the following events to educate investors, broker-dealers, and OTC companies about our marketplace.

13th Annual B. Riley Investor Conference (May 21-23, 2012)

STANY 76th Annual Conference (March 29, 2012)

Maxim Group Growth Conference (March 26, 2012)

Casimir 2nd Annual Australian Mining Conference (March 26, 2012)

24th Annual ROTH Conference (March 11-14, 2012)

PDAC Conference (March 4-7, 2012)

NAPE Expo (February 23-24, 2012)


OTC News

OTC Markets Group Announces Fourth Quarter and Full Year 2011 Financial Results (March 26, 2012)

OTC Link LLC Gains FINRA Membership (March 8, 2012)

FINRA Dealt Setback in OTC Plan - Traders Magazine (February 7, 2012)

Cromwell Coulson on the Financial Times' View from the Top (January 27, 2012)




OTC Market Trade Summary - February 2012

OTC Market Tier # Securities* Monthly Dollar Volume Avg. Monthly Dollar Volume
per Security
Market Capitalization
(in Millions)*
OTCQX® 338 $2,074,386,698 $6,137,239 $1,138,301
OTCQB® 3,614 $3,308,341,381 $915,424 $169,627
OTC Pink® Current Information 2,203 $6,635,337,181 $3,011,955 $11,145,229
OTC Pink Limited Information 653 $466,819,570 $714,884 $181,352
OTC Pink No Information 3,359 $234,732,495 $69,882 $172,306
Totals 10,167 $12,719,617,325 $1,251,069 $12,806,815
* Selected data as of February 29, 2012.

OTCQX - New this Month - New Additions in February

Fifteen companies joined OTCQX in the month of February.


  • Golden Band Resources Inc. (GBRIF)
  • LiqTech International, Inc. (LIQT)
  • Marina Biotech, Inc. (MRNA)
  • Northern Freegold Resources Ltd. (NFRGF)
  • Novelos Therapeutics, Inc. (NVLT)
  • Texas Rare Earth Resources Corp. (TRER)
  • Titan Medical Inc. (TITXF)
  • Wasabi Energy Ltd. (WSBLY)

A complete list of OTCQX companies is available on www.otcqx.com.

OTC Market Tiers

The intelligent marketplace for the best OTC companies with the highest financial standards and superior information availability.

The venture marketplace for companies that are current in their reporting with a U.S. regulator.

OTC Pink
The open marketplace for a wide spectrum of equity securities.


For questions, please contact OTC Markets Group
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www.otcmarkets.com • 212-430-3690 • info@otcmarkets.com
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