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Office of Compliance Inspections and Examinations:

Due to the complexity of topics and the highly sophisticated nature of the entities OCIE oversees, OCIE's Staff is comprised of people with a diverse range of academic and professional training, such as attorneys, accountants, MBAs, and former securities industry professionals. Staff projects are frequently conducted by inspection or examination "teams" in order to draw upon these various disciplines, allowing for more effective analysis and resolution of potential compliance breaches and/or securities violations.

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Modified: 03/19/2010