See below for SEC and FINRA regulations that govern trading in securities quoted on OTC Link® ATS, the OTC Markets SEC registered Alternative Trading System, reprinted from the OTC Markets website. FINRA Rule 2000 — Business Conduct Rule 2010 — Standards of commercial honor and principles of trade Rule 2020 — Use of manipulative, deceptive or other fraudulent … Continue reading "Summary of FINRA and SEC Regulations — Reprint from OTC Markets Website by Ronald Woessner"