SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
Washington, D.C.--(Newsfile Corp. - September 22, 2026) - 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 order, between August 2016 and March 2025, OTC Link LLC failed to establish, maintain, and enforce certain written policies and procedures required by Regulation ...