Board Member Hauptman to Host PCAOB Forum for Small Business Auditors and Broker-Dealer Auditors in Richardson, Texas

The Public Company Accounting Oversight Board (PCAOB) announced an in-person PCAOB forum on November 5, 2026, for auditors of small businesses and broker-dealers. The one-day-event – part of a series of 2026 forums – will be hosted by Board Member Kyle S. Hauptman and will take place at the University of Texas at Dallas (800 W. Campbell Road, Richardson, Texas, 75080).

“Effective oversight starts with regulators being willing to listen and learn, which is why this forum series is so important to the PCAOB,” said Board Member Hauptman. “I look forward to hearing directly from those doing this work every day and, ideally, finding specific ways to address the unique challenges facing auditors of small businesses and broker-dealers.”

Tailored to PCAOB-registered firms auditing smaller public companies or broker-dealers, the forums provide a unique opportunity for auditors to interact with representatives from the PCAOB and other regulators.

In addition to remarks from Board Member Hauptman, the forum agenda includes the following:

• Presentations by PCAOB staff from the Office of the Chief Auditor, the Division of Registration and Inspections, and the Division of Enforcement and Investigations.
• Presentation by Division of Registration and Inspections staff of illustrative examples related to audit risks associated with revenue, cash flow projections, related party transactions, and review of exemption reports.
• Presentations by staff of the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority.

Registration Required for the November 5 Forum; CPE Available

There is no fee to attend the November 5 forum, but advance registration is required and can be completed here. While the event is in-person only, a recording of the event will be made available on the PCAOB’s website. Attendees who attend the live event can earn continuing professional education (CPE) credits.

Forum attendees are encouraged to submit questions in advance via email. There also will be an opportunity to submit questions during the forum.

Visit the PCAOB’s Information for Smaller Firms page – which the PCAOB maintains as part of its ongoing efforts to support smaller audit firms – to find resources including publications, videos, and a sign-up form for the Communications to Small Audit Firm Practitioners mailing list.

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About the PCAOB

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers registered with the Securities and Exchange Commission, including compliance reports filed pursuant to federal securities laws.