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PCAOB Issues Audit Guidance on Brokers and Dealers
The staff guidance released on Thursday will help auditors of brokers and dealers registered with the SEC plan and perform audits under PCAOB standards as mandated by the Dodd-Frank Act and SEC rules.
Jun 26 2014
Alert Highlights Big Changes for Audits of Broker-Dealers
A member alert issued by the Center for Audit Quality and the AICPA outlines regulatory changes for audits and attestation engagements of brokers and dealers and futures commission merchants that are effective June 1.
May 14 2014
PCAOB Adopts Broker-Dealer Attest and Audit Standards
The Public Company Accounting Oversight Board (PCAOB) on October 10 approved two attestation standards and an auditing standard pertaining to audits of brokers and dealers.
Oct 11 2013
Attestation Standards for Broker-Dealer Audits on PCAOB Docket
The Public Company Accounting Oversight Board (PCAOB) is expected to discuss adopting attestation standards for auditors of broker-dealers during an open meeting October 10.
Oct 9 2013
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