PCAOB Announces Series of 2026 Forums for Auditors of Small Businesses and Auditors of Broker-Dealers

The Public Company Accounting Oversight Board (PCAOB) announced today that it will continue its in-person series of events on auditing in the small business environment and on auditing broker-dealers. The first two events in 2026 will be hosted by Chairman Demetrios (Jim) Logothetis and Board Member Mark Calabria. Additional events in 2026 and PCAOB Board Member participation in them will be announced at a later date.

“Smaller public companies and broker-dealers help to drive innovation and economic growth in the United States, and effective auditors are indispensable to the success of these businesses,” said Chairman Logothetis. “This forum series gives the PCAOB the firsthand insights needed to understand how our oversight activities intersect with the realities of smaller firms.”

Board Member Calabria will host the first scheduled forum on April 21, 2026 at the Hilton Chicago/Magnificent Mile Suites in Chicago, IL.

“Auditors of small businesses and broker-dealers play a vital role in our capital markets, and this longstanding forum series helps to foster two-way dialogue – a chance for auditors to hear directly from the PCAOB and for us to hear from them about their experiences in the field. I look forward to the conversation in Chicago,” said Board Member Calabria.

Chairman Logothetis will host a forum on May 13, 2026, in Jersey City, NJ. Additional details will be provided closer to the date of the event.

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 Calabria, the Chicago 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 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 (SEC) and the Financial Industry Regulatory Authority (FINRA).

Registration Required for the April 21 Forum; CPE Available

There is no fee to attend the Chicago 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 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.