On October 26, PCAOB to Host Livestreamed Forum for Auditors of Small Businesses and Broker-Dealers

The Public Company Accounting Oversight Board (PCAOB) announced today that its 2023 Forum on Auditing in the Small Business Environment and on Auditing Broker-Dealers will be livestreamed on Thursday, October 26, 2023.

“Given the increases in deficiencies that the PCAOB has observed in audits of public companies and broker-dealers, audit firms must make changes so they can live up to their responsibility to investors,” said PCAOB Chair Erica Y. Williams. “The PCAOB’s annual forum enables us to connect directly with auditors of small businesses and broker-dealers about their critical role in protecting investors.”

“I am pleased to once again be a part of this year’s forum, which allows the PCAOB to engage directly with auditors of smaller businesses and broker-dealers,” said Board Member Anthony C. Thompson.

The forum is tailored for PCAOB-registered firms that audit smaller public companies or broker-dealers. The agenda includes the following:

• A Q&A with Board Member Thompson, who will share thoughts on how the PCAOB is executing on its strategic goals and key auditing issues for auditors of small public companies and broker-dealers;
• Presentations by PCAOB staff from the Office of the Chief Auditor, the Division of Registration and Inspections, and the Division of Enforcement and Investigations; and
• Presentations by staff of the Financial Industry Regulatory Authority and the Securities and Exchange Commission. 

There is no fee to view the livestream, but advance registration is required. To register for the event and to find related information, visit the forum’s event page.

Continuing Professional Education credits will be awarded for those who register and watch the event live on October 26. A recording of each forum session will be made publicly available on the PCAOB’s website after the event.

Viewers are encouraged to submit questions in advance to [email protected]. There also will be an opportunity to submit questions during the forum.

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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, including compliance reports filed pursuant to federal securities laws.

Contact

PCAOB Office of Communications and Engagement
[email protected]