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The companies, products and regulatory developments shaping the broker industry.

SEC order traces OTC Link’s draft access policy through repeated examinations

The $575,000 settlement records an access-control policy still unestablished in fiscal 2023 after earlier examination findings. It also records consultants appointed in 2024 and additional policies established from March 2025.

13 Nov 2026Analysis7 min read

Regulation & enforcement

OTC Link left SCI policy gaps unresolved through repeated examinations

The SEC says required security and vulnerability procedures remained deficient or in draft across an approximately eight-and-a-half-year period despite repeated examination letters.

Published 8 Nov 2026Analysis7 min readEvent 22 Sep 2026