PCAOB Posts New Resources for Auditors of Small Businesses and Broker-Dealers

Washington, DC, Oct. 19, 2020

The Public Company Accounting Oversight Board (PCAOB) today posted three new sets of video presentations to provide timely educational resources for auditors of small businesses and broker-dealers. The Board announced last month that, due to the COVID-19 pandemic, online content would be offered in place of the PCAOB’s in-person forums.

The presentations, which include accompanying slides available for download, cover the following:

Information for Both Auditors of Small Businesses and Auditors of Broker-Dealers

Board Member Perspectives (PCAOB Board Member Rebekah Goshorn Jurata)
Office of the Chief Auditor Update (PCAOB Staff)
Division of Enforcement and Investigations Update (PCAOB Staff)

Information for Auditors of Small Businesses

Division of Registration and Inspections Update (PCAOB Staff)
Illustrative Examples for Auditors of Small Businesses (PCAOB Staff)

Information for Auditors of Broker-Dealers

Financial Industry Regulatory Authority Update (FINRA Staff)
Division of Registration and Inspections Update (PCAOB Staff)
Illustrative Examples for Auditors of Broker-Dealers (PCAOB Staff)

Note: Continuing professional education credits will not be available for viewers of these presentations. Please contact the PCAOB Office of External Affairs with questions or input.

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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.