OTC Link ATS is Now a Regulation SCI Entity!
The SEC's Regulation System Compliance Integrity, or Regulation SCI, became effective on November 3, 2015. The new SEC rule is designed to improve the resilience of U.S. public markets with improved regulatory standards and required processes regarding the technology operations of critical financial services firms, known as "SCI entities." These include national securities exchanges, the Financial Industry Regulatory Authority (FINRA), securities information processors (SIPs), clearing agencies, and significant Alternative Trading Systems, including our OTC Link® ATS.
We are proud of our team's efforts over the past two years to improve the stability, integrity and scalability of our technology platform. We are optimistic that Regulation SCI will succeed in its goals of helping to reduce the frequency and/or severity of technology-based market disruptions throughout the industry.
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OTC MARKETS NEWS & UPDATES
- OTC Markets Newsletter
- Resources on Regulation A+
- Regulation A+ Event Recordings
- Reg A+ Roundtable: OTC Markets, McCarter & English, CohnReznick & FundAmerica - (October 2015)
- An Overview of Reg A+ with OTC Markets and TriPoint Global Equities - (June 2015)
- Reg A+: What You Need to Know - (May 2015)
- Most Active Securities - October 2015
- See where you can access Market Data
- 2015 Mid-Year Review