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…
This story was originally published by sec.gov. Use the link below to read the full article at the source.
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