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SEC SEC Press Releases Source document ↗
SEC Press Releases United States Markets & Infrastructure ✓ 11 claims 15 Oct 2026

SEC fines OTC Link $575,000 for nine years of Regulation SCI failures

The SEC censured broker-dealer OTC Link LLC and imposed a $575,000 penalty for failing, between August 2016 and March 2025, to establish and enforce Regulation SCI policies covering system security, access control and vulnerability management on its OTC Link ATS. The order turns on repeated failures to remediate deficiencies after examiners flagged them, making it essential reading for SCI entities on how the agency weighs examination history.

  • OTC Link LLC was censured and ordered to pay a $575,000 civil penalty for Regulation SCI violations from August 2016 to March 2025.
  • The SEC found deficient policies on system security, access control and application vulnerability management, testing and remediation for OTC Link ATS.
  • Examiners flagged the gaps several times; the order cites repeated failure to promptly remediate as justifying the penalty, and found breaches of Rules 1001(a)(1), (a)(2) and (a)(3).
Executive summary Detailed analysis Source document ↗
SEC SEC Press Releases Source document ↗
SEC Press Releases United States Markets & Infrastructure ✓ 17 claims 15 Oct 2026

SEC proposes wider retail access to private markets, floats new accredited-investor paths

The SEC has voted to propose amendments aimed at opening private-market strategies to retail investors through regulated fund structures, and separately opened comment on new routes to accredited-investor status. This segment walks through what the Commission is proposing, what it is merely asking about, and the 60-day clock now running for firms that structure or distribute these products.

  • Registered advisers to regulated funds could receive performance-based compensation tied to capital gains or appreciation, with new disclosure required on fund forms.
  • Separate comment request weighs a FINRA accredited-investor exam and credentials — CPA, CFA, CFP, Series 79, Series 86/87 — as non-financial qualification paths.
  • Comment periods remain open 60 days after Federal Register publication; proposals also modernize interval funds and closed-end fund multi-class issuance.
Executive summary Detailed analysis Source document ↗
SEC SEC Press Releases Source document ↗
SEC Press Releases United States Digital Assets ✓ 14 claims 15 Oct 2026

SEC proposes crypto custody framework for investment advisers and regulated funds

The SEC has opened a 60-day consultation on how registered investment advisers, registered funds and BDCs may custody crypto assets. It would create a compliant pathway where none existed, permit self-custody in defined circumstances, and admit state trust companies as custodians. This segment covers what the proposal changes for advisers and funds and where the open questions sit before any final rule.

  • SEC proposed a tailored crypto custody framework for registered investment advisers and regulated funds on October 1, 2026 (release 2026-100).
  • The proposal would permit self-custody of crypto assets in certain circumstances and allow state trust companies to act as custodians for client and fund assets.
  • The comment period remains open for 60 days following publication in the Federal Register; the measure is a proposal, not yet a rule.
Executive summary Detailed analysis Source document ↗