Office of the Illinois Secretary of State Alexi Giannoulias Job Title: Securities Examiner I – Securities... Representatives, Mutual Funds, UIT Notifications, and amendments, U-5 forms and federal covered securities, Broker Dealers...
examination. The client is undergoing a routine examination by the District of Columbia Department of Insurance, Securities... DISB examiner—ensuring accuracy, completeness, and compliance. Serve as a sounding board to the client’s accounting...