A$.$ Identified securities that are missing a complexity level for a month. The data includes January, February, and March pricing dates. One security was missing a month of data:

Security ID $20022$L $-$ February $20$XX

B$.$ Identified securities with inconsistent complexity levels from month to month. The following securities had more than one complexity level:

Security ID $00012$ A

Security ID $20022$ L

C$.$ Investigated securities with high complexity scores to see if a specific security type is the cause of the complexity level by finding the average complexity level for each security type:

Assumption: Preferred stock securities are more complex to price.

Recommended action: The audit team validates this assumption by speaking with the hard to price team.

$\backslash$table$[[$Autosine$,$o$-c-g=,,($u$)],[,*1,fx,,],[4,$A$,$B$,$C$,$D$],[1,$Security ID$,$Pricing Date,Complexity,Security Type$],[2,00012A,1/13/20$XX$,1,$Common stock$],[3,00012A,\frac{2}{15}\frac{?}{20xx},1,$Common stock$],[4,00012A,\frac{3}{16}\frac{?}{20xx},2,$Common stock$],[5,2235$B$,\frac{1}{13}\frac{?}{20xx},3,$Preferred stock$]]$