September 22nd 2026, 4:41 PM
SEC Cracks Down on Broker Dealer OTC Link LLC for SCI Compliance Failures
Key Summary
The SEC has censured OTC Link LLC for repeated compliance failures related to Regulation SCI, ordering the firm to pay a $575,000 civil penalty. The case highlights the need for enhanced investor protection and market integrity, particularly in the context of investment schemes targeting vulnerable populations.
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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 SEC’s settled…
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