William Foster Day

Under the Over the Counter William Foster Day

Throughout almost all of the 1980s, I was working in the over-the-counter industry. As a broker with a Series 7 License, I could buy and sell assets on all of the exchanges, but the firms which employed me considered themselves OTC companies. Most of their stocks were either traded on Nasdaq or just between broker-dealers as unlisted or Pink Sheet stocks. Generally these companies are newly listed, small, underfunded and are unable to meet the requirements to obtain listing on the larger exchanges. This book is a fictionalize version of my experiences.