SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
September 22, 2026
September 22, 2026
WASHINGTON, Sept. 22 -- The Securities and Exchange Commission issued the following news release:
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SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
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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 SE . . .
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SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
*
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 SE . . .