To Consider Adopting Standards for Broker-Dealer Audits and Auditing Supplemental Information

Agenda

 

Call to Order and Roll Call James R. Doty, Chairman 

Attestation Engagements Related to Broker and Dealer Compliance or Exemption Reports

 

Supplemental Information Accompanying Audited Financial Statements

Martin F. Baumann, Chief Auditor

Keith Wilson, Deputy Chief Auditor

Barbara Vanich, Associate Chief Auditor

Nicholas Grillo, Assistant Chief Auditor 

Closing Comments & Adjournment  James R. Doty, Chairman