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PCAOB Adopts Rule Creating Interim Program for Auditors of Broker-Dealers
Newsletter: The PCAOB recently adopted a rule to create a temporary inspection program for auditors of broker-dealers, largely ignoring calls of lawmakers and the AICPA to require inspection only of auditors of broker-dealers who handle investor funds directly Published on June 30, 2011
AICPA to Congress SEC Should Keep Investment Adviser Oversight
Newsletter: The CPA Advocate: June, 2012. Congress should not shift oversight of investment advisers to an SRO from the SEC, the AICPA said in a letter to Congress Published on June 13, 2012
AICPA Monitoring PCAOB Forums for Auditors of Smaller Broker-Dealers
Newsletter: The CPA Advocate: August, 2012. The AICPA continues to advocate for a final PCAOB rule requiring inspections of auditors of clearing, carrying and custodial broker-dealers because these broker-dealers directly handle investor funds Published on September 19, 2012