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

Date:

Apr. 3, 2025

Time:

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

Speakers:

Chair Erica Y. Williams; PCAOB Staff; FINRA Staff; SEC Staff

Event:

Location:

Chicago Marriott Downtown Magnificent Mile, Chicago, IL

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. – 9:20 a.m.	Welcome and Chair Williams Remarks
9:20 a.m. – 10:35 a.m.	PCAOB Inspections Overview and Illustrative Examples: Issuers
10:35 a.m. – 10:45 a.m.	Break
10:45 a.m. – 11:10 a.m.	PCAOB Enforcement Update
11:10 a.m. – 12:25 p.m.	PCAOB Standard-Setting Update
12:25 p.m. – 1:25 p.m.	Lunch
1:25 p.m. – 2:15 p.m.	FINRA Update
2:15 p.m. – 3:05 p.m.	SEC Update
3:05 p.m. – 3:15 p.m.	Break
3:15 p.m. – 4:30 p.m.	PCAOB Inspections Overview and Illustrative Examples: Broker-Dealers