Tag: regulation_sci
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SEC Censures OTC Link LLC Over Repeated Regulation SCI Failures
The SEC censured New York broker dealer OTC Link LLC and ordered a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity.
BusinessLaw EnforcementUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionOTC Link LLCRegulation SCIcivil penaltycensurebroker dealerNew York