Forum on Auditing Smaller Broker-Dealers

The Forum on Auditing Smaller Broker-Dealers is a program for registered public accounting firms operating in the smaller broker-dealer community to learn more about the work of the Board, specifically the scope of its permanent inspection rules and understanding the unique needs and challenges of the auditors of smaller broker-dealers and their clients in its inspection and standard-setting process.

Invited participants are auditors of broker-dealers in smaller registered public accounting firms. The program is limited to those groups in the small business environment that are most directly affected by the PCAOB oversight responsibilities in Dodd-Frank. The goal of this format is to ensure that there is ample opportunity for discussion among PCAOB Board members and staff and the auditors of brokers and dealers attending the forums.