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

Date:
Oct. 26, 2022
Time:
10:30 a.m. - 4:00 p.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, 2022, 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].

Information for Both Auditors of Small Businesses and Auditors of Broker-Dealers

Welcome (PCAOB Staff)

Inspections Overview and Illustrative Examples: Issuers (PCAOB Staff)


Board Member Perspectives (PCAOB Staff)


Standard-Setting Update (PCAOB Staff)


Enforcement Update (PCAOB Staff)


SEC Update (SEC Staff)


Inspections Overview and Illustrative Examples: Broker-Dealers (PCAOB Staff)


FINRA Update (FINRA Staff)



Small Business and Broker-Dealer Forums