SEC/SRO Update

October 1, 2016

"SEC/SRO Update: Ernst & Young & Former Partners Charged with Violating Auditor Independence Rules; 'Stock Trading Whiz Kid' to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges; Two Firms Charged with Compliance Failures in Wrap Fee Programs; SEC Extends Comment Period for Proposed Amendments to Disclosure Requirements"

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