Docket 035: Attestation Standards for Engagements Related to Broker and Dealer Compliance or Exemption Reports Required by the U.S. Securities and Exchange Commission and Related Amendments to PCAOB Standards

Docket Status:
Approved by SEC
SEC Action:

Release No. 34-71524 (Feb. 12, 2014)

Releases and Rule Filings

Release or Rule Filing No. Description Date
2013-01 SEC Filing Form 19b-4 Oct. 30, 2013
2013-007 Final Rule Oct. 10, 2013
2011-004 Proposed Rule Jul. 12, 2011

Supplemental Materials

Description Date
Statement on Attestation Standards for Broker-Dealer Audits and Auditing Standard on Auditing Supplemental Information by James R. Doty, Chairman Oct. 10, 2013
Statement on Attestation Standards for Broker-Dealer Audits and Auditing Standard on Auditing Supplemental Information by Lewis H. Ferguson, Board Member Oct. 10, 2013
Statement on Attestation Standards for Broker-Dealer Audits and Auditing Standard on Auditing Supplemental Information by Jeanette M. Franzel, Board Member Oct. 10, 2013
Statement on Attestation Standards for Broker-Dealer Audits and Auditing Standard on Auditing Supplemental Information by Jay D. Hanson, Board Member Oct. 10, 2013
Statement on Attestation Standards for Broker-Dealer Audits and Auditing Standard on Auditing Supplemental Information by Steven B. Harris, Board Member Oct. 10, 2013
Statement on Proposed Standards for Attestation Engagements Related to Broker and Dealer Compliance or Exemption Reports by James R. Doty, Chairman Jul. 12, 2011
Statement on Proposed Standards for Attestation Engagements Related to Broker and Dealer Compliance or Exemption Reports by Daniel L. Goelzer, Board Member Jul. 12, 2011
Statement on Proposed Standards for Attestation Engagements Related to Broker and Dealer Compliance or Exemption Reports by Jay D. Hanson, Board Member Jul. 12, 2011