PCAOB to Host Livestreamed Forum for Auditors of Small Businesses and Broker-Dealers

Washington, Oct. 13, 2022

The Public Company Accounting Oversight Board (PCAOB) announced today that its 2022 Forum on Auditing in the Small Business Environment and on Auditing Broker-Dealers will be livestreamed on Wednesday, October 26, 2022.

As part of its strategic goal of improving organizational effectiveness, the PCAOB seeks continually to enhance its stakeholder engagement. To that end, this year's virtual-only forum will be streamed live for an interactive participant experience. As in past years, the forum's content will be tailored for PCAOB-registered firms that audit public companies or broker-dealers.

"PCAOB oversight protects Main Street investors and strengthens our capital markets for the small businesses that depend on them," said PCAOB Chair Erica Y. Williams. "Our annual forum gives us a chance to connect directly with auditors of small businesses and broker-dealers about their unique challenges and needs."

The forum's agenda includes the following:

  • A one-on-one Q&A with Board Member Anthony C. Thompson, who will share thoughts on how the PCAOB is executing on its strategic goals, key auditing issues for auditors of smaller business and broker-dealers, and more;
  • 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 available 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.


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. 


PCAOB Office of Communications and Engagement 
[email protected]