Regulatory Auditor for the NYSE Amex LLC

In September 2009, the firm was retained by the Amex, and confirmed by the SEC, to serve as the third-party auditor to conduct comprehensive reviews of the Amex’s surveillance, examination, investigation, and disciplinary program related to trading applicable to floor members. The firm rendered interim reports to the Amex as it completed individual audit procedures and two comprehensive reports (in June 2010 and May 2012) to the SEC and Amex.

NYSE Amex LLC is an options and equities stock exchange situated in New York City, New York.

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