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Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and
ORSP staff assist with proposal development (Office Of Research Development), proposal submission, contract negotiation (Office Of Grants And Contracts), and post award support (Office Of Sponsored Programs), and help to assure that research and sponsored programs are conducted in accordance with th