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161,665 out of 865,797 Veterans
161,665 out of 865,797 Veterans
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Regulatory and compliance professional and U.S. Air Force veteran. Over 15 years of experience in the securities and advisory industry interpreting and applying federal securities rules and regulations and firm’s policies; responding to federal and local regulator’s inquiries; implementing trade surveillance and monitoring tools/systems; and establishing market, insider and employee surveillances.
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