NASD OTC Securities Exchange is a Self-Regulatory Organisation (“SRO”) and a licensed Securities Exchange registered by the Securities and Exchange Commission (“SEC”) under the Investment and Securities Act 2007 (ISA) and the Rules and Regulations of the SEC.

It is licensed to trade all registered securities within the meaning of the ISA as an OTC Securities Exchange. As an SRO, it regulates the conduct of member firms on its market, monitors trading and market activities, maintains rules and guidance to provide a fair and transparent platform for raising capital and trading securities.