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

Date:

Nov. 12, 2025

Time:

8:30 a.m. - 4:10 p.m.

Speakers:

Board Member Kara M. Stein; PCAOB Staff; FINRA Staff; SEC Staff

Event:

Location:

St. Robert's Hall, Loyola Marymount University, Los Angeles, CA

Registration

There is no fee to attend in-person, but advance registration is required.

Access information will be sent to all registrants one day prior to the forum.

8:30 a.m. – 9:25 a.m.	Welcome and Board Member Perspectives
9:25 a.m. – 10:40 a.m.	PCAOB Inspections Overview and Illustrative Examples: Broker-Dealer
10:40 a.m. – 10:50 a.m.	Break
10:50 a.m. – 12:05 p.m.	PCAOB Inspections Overview and Illustrative Examples: Issuer
12:05 p.m. – 1:05 p.m.	Lunch
1:05 p.m. – 1:55 p.m.	SEC Update
1:55 p.m. – 2:45 p.m.	FINRA Update
2:45 p.m. – 2:55 p.m.	Break
2:55 p.m. – 3:20 p.m.	PCAOB Enforcement Update
3:20 p.m. – 4:10 p.m.	Standard-Setting Update