Financial Regulatory Updates SEC Sanctions OTC Link LLC with $575,000 Penalty Over Longstanding Regulation SCI Violations September 30, 2026 Lina Hope WASHINGTON D.C. — In a regulatory enforcement action underscoring the strict accountability demanded of critical market infrastructure providers, the U.S. Securities and Exchange Commission (SEC) announced today that it has…
Financial Regulatory Updates SEC Slaps New York Investment Adviser Zoe Financial with $450,000 Penalty Over Undisclosed Conflicts of Interest September 29, 2026 Nana Muazin WASHINGTON, D.C. — In a regulatory enforcement action underscoring the strict fiduciary boundaries governing modern financial technology, the U.S. Securities and Exchange Commission (SEC) announced settled charges against New York-based…
