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

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe

You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Waterstechnology? View our subscription options

If you already have an account, please sign in here.

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here