ALLIANCEBERNSTEIN HOLDING L.P. 10-Q

Item 4. Controls and Procedures Disclosure Controls and Procedures Each of AB Holding and AB maintains a system of disclosure controls and procedures that is designed to ensure that information required to be disclosed in our reports under the Exchange Act is (i) recorded, processed, summarized and reported in a timely manner, and (ii) accumulated and communicated to management, including the Chief Executive Officer ("CEO") and the Chief Financial Officer ("CFO"), to permit timely decisions regarding our disclosure. As of the end of the period covered by this report, management carried out an evaluation, under the supervision and with the participation of the CEO and the CFO, of the effectiveness of the design and operation of the disclosure controls and procedures. Based on this evaluation, the CEO and the CFO concluded that the disclosure controls and procedures are effective. Changes in Internal Control over Financial Reporting No change in our internal control over financial reporting occurred during the third quarter of 2022 that materially affected, or is reasonably likely to materially affect, our internal control over financial reporting. 16 Index Part II OTHER INFORMATION Item 1. Legal Proceedings See Note 8 to the condensed financial statements contained in Part I, Item 1. Item 1A. Risk Factors There have been no material changes to the risk factors from those appearing in AB Holding's Annual Report on Form 10-K for the fiscal year ended December 31, 2021.