SEC Fines Broker-Dealer Over System Security Failures

By Sarah Jarvis ( September 22, 2026, 9:20 PM EDT) -- The U.S. Securities and Exchange Commission on Tuesday ordered OTC Link LLC to pay $575,000 over allegations that the New York-based broker-dealer did not establish and enforce policies to ensure the security of the technology underpinning one of its alternative trading systems, despite several citations from examiners....

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