Application Forms

The OTCQX platform provides a compelling U.S. presence for a diverse range of companies. Companies apply to join and are screened prior to being approved for OTCQX. This issuer driven application process sets OTCQX companies apart from all other companies in the OTC marketplace and is a signal of quality to investors.

The OTCQX application process includes applications from the Company and the sponsoring Designated Advisor (PAL). The application process can take as little as one week once companies have an OTC security quoted on OTC Link and have appointed a PAL. The main steps in the Application Process are:

  • Company Appoints a Designated Advisor, called a Principal American Liaison - or PAL (Either an ADR Bank, qualified Investment Bank or Attorney)
  • Create a Level 1 ADR (not required for Canadian Companies)
  • Obtain Priced Market Maker Quotations in OTC Link
  • Complete OTCQX Application, Agreement, and Appointment of PAL forms, and submit to OTC Markets Group
  • Upload the past 2 years of public financials required by the home market exchange, in English, to the OTCQX website for investor access
  • List company in a Recognized Securities Manual, such as Standard and Poor's or the Mergent Manual, so brokers can verify compliance with state Blue Sky laws and recommend the security to investors.
  • Designated QX Advisor (PAL) submits Initial PAL Letter confirming that the company is in compliance with OTCQX Marketplace Rules
  • Approval for OTCQX

Application Forms

OTCQX International Application Word PDF
OTCQX Agreement for International Companies Word PDF
Appointment of an Investment Bank PAL Word PDF
Appointment of an Attorney PAL Word PDF
Appointment of an ADR Depositary PAL Word PDF
DAD/PAL Application Word PDF
DAD/PAL Agreement Word PDF

Additional Forms

OTCQX Rules for International Companies PDF