Small Business and Broker-Dealer Auditor Forum

Hotel

No room block has been reserved, however, there are a number of hotels in close proximity to the meeting location.

Agenda (note: all times are central time)

 September 25 - Small Business, Part I
9 a.m. - 9:10 a.m.

Welcome 

  • PCAOB Staff
9:10 a.m. - 10:10 a.m.

Panel: The New Auditor’s Report: Critical Audit Matters and other Current Topics

  • PCAOB Staff from Office of the Chief Auditor, Division of Registration and Inspections
10:10 a.m. - 10:20 a.m.

Break

10:20 a.m. - 10:50 a.m.

Inspections Overview

  • PCAOB Staff, Division of Registration and Inspections
10:50 a.m. - 11:50 a.m.

Case Study: Auditors of Issuers

  • PCAOB Staff, Division of Registration and Inspections
11:50 a.m. - 1 p.m.

Lunch (on your own)

 September 25 - Small Business, Part II and Broker-Dealer, Part I
 12:40 p.m. - 1 p.m. Afternoon check-in 
 1 p.m. - 1:30 p.m.

Board Member Perspective

  • PCAOB Board Member(s)
 1:30 p.m. - 2:30 p.m.

Standard-Setting Update

  • PCAOB Staff, Office of the Chief Auditor
 2:30 p.m. - 3:15 pm.

Enforcement Update

  • PCAOB Staff, Division of Enforcement and Investigations 
 3:15 p.m. - 3:30 p.m. Break 
 3:30 p.m. - 4:45 p.m.

SEC Update

  • SEC Staff
 4:45 p.m. - 5 p.m.

Q&A and Closing Remarks

  • All Presenters 
 September 26 - Broker-Dealer, Part II
 9 a.m. - 9:05 a.m.

Welcome

  • PCAOB Staff 
9:05 a.m. - 9:55 a.m

Panel: Topic TBD

  • PCAOB Staff, Division of Registration and Inspections 
9:55 a.m. - 10:30 a.m.

Inspections Overview: Auditors of Broker-Dealers

  • PCAOB Staff, Division of Registration and Inspections 
10:30 a.m. - 10:45 a.m. Break
10:45 a.m. - 11:30 a.m. 

Perspectives from the Financial Industry Regulatory Authority

  • FINRA Staff
11:30 a.m. - 12:25 p.m.

Case Studies: Auditors of Broker-Dealers

  • PCAOB Staff, Division of Registration and Inspections 
12:25 p.m. - 12:40 p.m.

Q&A and Closing Remarks

  • All Presenters