Two broker-dealers must pay a combined $4.65 million in penalties for providing incomplete and inaccurate securities trading information to the Securities and Exchange Commission. Prudent compliance officers at other broker-dealer firms might want to take a page from their remedial efforts.

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Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...