OTC Markets Unveils ‘Blue Sky’ Compliance Dataset for OTC Securities
The dataset is part of an ongoing initiative by the OTC marketplace to gain state-by-state exemptions to allow brokers and issuers to conduct business in OTC securities.
New York-based over-the-counter equities market operator OTC Markets has released the Blue Sky Data Product to help broker-dealers and investment advisors ensure their research and recommendations are compliant with regulatory requirements around unlisted securities in each US state, jurisdiction, and territory.
“Blue Sky” laws govern what activities brokers can perform in certain OTC securities, and are set on a state-by-state level. Brokers require exemptions from each state to solicit or
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