Forum on Auditing in the Small Business Environment and on Auditing Broker-Dealers

Date:
Oct. 26, 2023
Time:
10:30 a.m.
Speakers:
Board Member Anthony C. Thompson, PCAOB Staff; FINRA Staff; SEC Staff
Event:
  • Multimedia
  • Small Business and Broker-Dealer Auditor Forum

On October 26, 2023, the PCAOB hosted a livestream of its Forum for Auditors of Small Businesses and Broker-Dealers. Recordings of the presentations can be found below. For any questions, please contact [email protected].

Welcome (PCAOB Staff)

PCAOB Inspections Overview: Issuers (PCAOB Staff)


PCAOB Board Member Perspectives (PCAOB Staff)

    PCAOB Standard-Setting Update (PCAOB Staff)


    PCAOB Enforcement Update (PCAOB Staff)


    PCAOB Inspections Overview: Broker-Dealers (PCAOB Staff)


    FINRA Update (FINRA Staff)



    Small Business and Broker-Dealer Forums