SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
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…
Se muestra el contenido original; la traduccion localizada aun no esta disponible.
Qué ocurrió
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…
Por que importa
The decision may change compliance obligations, market access or operating costs for SEC.
Entidades afectadas
Ver evidencia
1 articulos · 1 informe original · 1 independientes
- U.S. Securities and Exchange CommissionFuente primaria · Respalda · EN · 100%SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI ↗
Afirmaciones
- SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI Observado
Conflictos
No se detectaron conflictos importantes en la evidencia disponible.
Cronología
- Primera publicación
Movimiento del mercado posterior al evento
La reacción del mercado aún no está disponible para este activo y periodo.