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U.S. SEC 22 Sep 2026, 16:41 UTC

SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI

Primary source Published directly by an official institution.
Résumé de l’éditeur — U.S. SEC

The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).According to the SEC’s settled…

Lire l’article complet sur sec.gov

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