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Small Cap Compliance
Right-size small cap listed equity compliance.
Small cap companies traded on the OTC market, and the small cap tiers of the listed markets, share similarities around issuer size, sectors and liquidity. The Small Cap Listed Compliance product is designed to help AML and compliance personnel standardize policies and due diligence procedures across the small cap markets.
The Small Cap Listed Compliance product provides key compliance data points for all corporate listed securities with a market capitalization less than or equal to $500 million.
New in Q2 2024 – Additional fields indicating exchange deficiency. Using publicly available data, we highlight securities currently deficient in their exchange listing standards and as well as the type of deficiency. Historical data on deficiencies starts on 4/1/2024.
Existing Key data elements, updated twice daily, include:
Stock Promotion: Active and historical stock promotion data is included using the process and algorithm currently in use for OTC equities.
Hot Sector: Highlights securities classified in the Cannabis and Cryptocurrency/Blockchain sectors.
Penny Stock Status: Securities are evaluated using all SEC defined exemptions except the Exchange exemption. This allows firms/analysts to note the securities which would be considered penny stocks if not on an exchange.
Exchange Deficiency: Notes if a security is deficient in their primary exchange listing standards and highlights how they are deficient (i.e. bid price, untimely filing, independent director requirement, etc).
OTC Graduate Data: Notes if a security was formerly OTC, graduation date and the OTC Tier at time of graduation.
Additional key compliance fields such as: Micro-cap Status, Shell Status, Former Shell Status, Shares Outstanding, Split History, Name Change History and Average Daily Volume Data.
Functional & Technical details
Created twice daily at 5:00 AM ET and 7:00PM ET – on every trading day.
Complete data set (not delta files)
Available on OTC Markets SFTP server
Pipe delimited text file
Cusip and Non Cusip versions available
File size: ~5 MB total (2 Files)
The Small Cap Listed Compliance File product is licensed at the enterprise level (no reporting) for $2,500/month for internal use and $3,000/month for internal use and external display use.
Complete market data pricing is available in our Market Data Fee Schedule.
