Forums on Auditors of Broker-Dealers Coming This Fall

June 22, 2017

The Public Company Accounting Oversight Board (“PCAOB”) has released the schedule for its 2017 Forums for Auditors of Broker-Dealers. Only two forums are set for this year, which will be held at the following locations:

  • Las Vegas, Nevada, on October 20, 2017
  • Jersey City, New Jersey, on December 7, 2017

This year’s forums include case studies and discussions on inspection observations and trends, enforcement issues, and auditor independence. Securities and Exchange Commission and the Financial Industry Regulatory Authority staff members will lead presentations on agenda topics. In addition, there will be an auditing standards update and a panel discussion about professional skepticism.

Hosted by PCAOB board members, the forums are free to attend. Preregistration is required. Attendees can also earn continuing professional education credits.

A live-stream of the forums will be available to those unable to attend in person.