PCAOB Board Member Botic to Host Forum in San Francisco for Auditors of Small Businesses and Auditors of Broker-Dealers

The Public Company Accounting Oversight Board (PCAOB) announced details today for an in-person PCAOB forum for auditors of small businesses and auditors of broker-dealers to be hosted by Board Member George R. Botic on Sept. 22, 2026. The one-day-event—part of a series of 2026 forums—will take place at the University of San Francisco.

“Auditors of small businesses and broker-dealers are a critical part of the audit and financial reporting ecosystem,” said Board Member Botic. “These forums allow us to listen closely and better understand emerging risks. I look forward to receiving feedback from these firms in San Francisco and engaging in the candid dialogue that these forums make possible.”

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 Botic, the San Francisco 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 Sept. 22 Forum; CPE Available

There is no fee to attend the San Francisco 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.