RegulationRegulatory
SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
Source: U.S. SEC · · United States
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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…Read the full story at U.S. SEC
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