US Equities OTC Market Compliance Data

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The U.S. Equities OTC Market Compliance dataset provides comprehensive reference and compliance information for the full universe of U.S. over-the-counter (OTC) equity securities, covering approximately 22,000 instruments. The dataset includes core security attributes such as ticker symbol and security name, along with key OTC-specific compliance classifications. These include penny stock status, OTC recommendation rule exemptions, OTC marketplace and tier designation, Caveat Emptor status, company reporting standard, shell company status, shares outstanding, and the number of market participants. For cross-vendor interoperability, each security is also supplemented with a FIGI identifier. This dataset is designed to support regulatory monitoring, compliance workflows, risk controls, and security master enrichment for OTC-traded equities, where regulatory attributes and disclosure status materially affect trading eligibility and risk assessment. Data is available  starting November 2024