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PCAOB Smaller Broker-Dealers Forum Set for October 29th

Hosted by members of the Public Company Accounting Oversight Board (“PCAOB”), the next Forum on Auditing Smaller Broker-Dealers is scheduled for October 29th. Taking place in Miami, Florida, the forum will begin at 8:30 a.m. EST and feature topics such as:

  • The implementation of Rule 17a-5 and the PCAOB Audit and Attestation Standards;
  • Compliant amendments to PCAOB Rules and Forms for Broker-Dealer Auditors; and
  • An update from the Financial Industry Regulatory Authority.

Members of PCAOB-registered firms that audit public companies are encouraged to attend the Miami forum. Attending the event is free, but participants must pre-register online by October 22nd. For the Miami forum’s detailed agenda or to register, please visit the PCAOB’s website.

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