PCAOB Posts Agenda for Forum for Auditors of Broker-Dealers in October

The Public Company Accounting Oversight Board today posted the agenda for its Forum for Auditors of Broker-Dealers on October 20 in Las Vegas. Participants must book rooms by September 19 to receive the event discount.

The agenda for the Las Vegas forum features a case study on auditing revenue, as well as discussions on exercising professional skepticism and auditor independence.

PCAOB staff will provide updates on enforcement, auditing standards, and inspections, including a discussion of the annual report on inspections of broker-dealer audits released last week.

The forum also will include presentations from staff of the Securities and Exchange Commission and the Financial Industry Regulatory Authority.

The forum also will be livestreamed.

The PCAOB also will hold a Forum for Auditors of Broker-Dealers on December 7 in Jersey City, N.J.

Forums are open to members of PCAOB-registered firms that audit smaller broker-dealers. There is no fee to participate, but preregistration is required and space may be limited. Attendees have the opportunity to earn continuing professional education credits.

Read more information about the forums. Questions about the forums may be directed to the Office of Outreach at [email protected] or 202-591-4135.

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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.