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OTC tier management certifications
OTC-quoted SEC filers add an OTC Markets management certification on a separate clock from the 10-K.
- Certification
- 45 days after the annual report due date
- Tiers
- OTCQX, OTCQB and OTCID
- Clock starts
- From the due date, not your filing date
- Missed
- Tier maintenance at risk
How the certification runs
- 01Annual report due
- 02Certification due 45 days later
- 03Post through OTCIQ
The deadline
The clock starts from the annual report due date, not from the day you file the 10-K. Weekend and SEC holiday due dates roll to the next business day. All deadlines ET.
- On an NT extensionWatch both the extended 10-K date and the certification date computed from the original annual report due date.
What tier maintenance requires, in general
- Current SEC reporting10-K, 10-Q and required 8-Ks for SEC-reporting tiers.
- The annual certificationOn the OTC calendar after the annual report comes due.
- Current OTCIQ profileOn the cadence your tier requires, plus any tier-specific disclosure, transfer agent and other qualitative tests OTC Markets publishes.
Frequently asked questions
When is the OTCQB management certification due?
45 calendar days after the annual report due date, rolled to the next business day on weekends and SEC holidays. OTCQX and OTCID use the same 45-day pattern. All deadlines ET.
Does filing the 10-K early change the certification due date?
No. The certification due date is computed from the annual report due date. Confirm any OTC Markets nuances for your tier with counsel.
Are Pink Limited companies on the same certification rules?
Alternative-reporting companies follow different OTC disclosure calendars. Ask during onboarding if your tier fits the workflow you need.
Does TakePublic post the certification to OTCIQ for us?
TakePublic can generate downloadable OTC certification documents from the calendar. Posting through OTCIQ remains a company step.
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