Category: OTC Link LLC

SEC-PR-2024-96

SEC-PR-2024-96 (Aug. 12, 2024) SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports (SAR) The Securities and Exchange Commission today announced charges against OTC Link LLC, a New York-based broker-dealer, for failing to file numerous reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), for a period of more than […]