SEC · announcement · urgent
SEC censures OTC Link LLC, orders $575,000 penalty for Regulation SCI violations
The SEC censured OTC Link LLC, a New York-based broker dealer, for longstanding violations of Regulation Systems Compliance and Integrity (SCI). The SEC ordered the firm to pay a $575,000 civil penalty.
- Agency
- SEC
- Jurisdiction
- US-FED
- Action type
- announcement
- Severity
- urgent — penalty-bearing, effective immediately, or a serious health hazard
- Published
- Recorded
- Tags
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