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 SEC’s settled…
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…
BELLINGS Intelligence Score: 40
Why it matters
The SEC's censure and penalty against OTC Link LLC for repeated Regulation SCI compliance failures is a significant regulatory enforcement action affecting market infrastructure integrity, relevant to credit-market professionals monitoring operational risk and regulatory standards.