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The Securities and Exchange Commission censured New York broker-dealer OTC Link LLC and ordered the firm to pay a $575,000 civil penalty for repeated failures to meet Regulation Systems Compliance and Integrity (SCI) requirements. The SEC’s settled order found that, between August 2016 and March 2025, OTC Link failed to establish, maintain, and enforce required written policies and procedures for its OTC Link ATS, including on system security, access control, and vulnerability management.
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