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

Date:
Sep. 12, 2024
Time:
8:30 a.m.
Speakers:
Board Member Kara M. Stein, PCAOB Staff; FINRA Staff; SEC Staff
Event:
  • Small Business and Broker-Dealer Auditor Forum
Location:
Grand Hyatt Denver, Denver, CO

On September 12, 2024, the PCAOB hosted a Forum for Auditors of Small Businesses and Broker-Dealers. Recordings of the presentations can be found below. For any questions, please contact [email protected].

Kara M. Stein Remarks (PCAOB Staff)

 

PCAOB Inspections Overview: Issuers (PCAOB Staff)

 

PCAOB Standard-Setting Update (PCAOB Staff)

 

PCAOB Enforcement Update (PCAOB Staff)

 

SEC Update (SEC Staff)

 

FINRA Update (FINRA Staff)

 

PCAOB Inspections Overview: Broker-Dealers (PCAOB Staff)

 

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