Assertion: attorney general's duty | /r/CapableOf | review financial documents
Facets:
Source sentences:
text: Duties include: conducting routine, on-site inspections of investment adviser and broker-dealer firms to include conducting interviews of registrants, reviewing and analyzing registrants' financial and non-financial books and records, drafting correspondence to registrants outlining deficiencies found during on-site inspections, and performing any necessary follow-up; reviewing and analyzing initial and renewal registration applications and amendment filings for investment advisers and their representatives and brokerdealers and their agents; drafting correspondence to applicants outlining deficiencies in registration applications and requesting additional information; drafting pleadings related to administrative actions involving registration; providing status reports; responding to inquiries from applicants, registrants, their counsel and the public; reviewing federal and state application forms and financial documents; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD) to review available information concerning applicants; reviewing and analyzing filings for franchise and securities offerings under the Maryland Franchise Law and Maryland Securities Act, respectively.