Registration and Inspection of the Auditors of Broker-Dealers
The Dodd-Frank Act provides authority to the Public Company Oversight Board to expand, by rule, its oversight and inspections to all auditors of broker-dealers or to a targeted subset of its choosing. The AICPA continues to advocate for a clear policy rationale to any changes in PCAOB regulation
Published on May 14, 2012
PCAOB Adopts Rule Creating Interim Program for Auditors of Broker-Dealers
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 Monitoring PCAOB Forums for Auditors of Smaller Broker-Dealers
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 20, 2012
AICPA Comment Letter to PCAOB regarding Temporary Rule on Interim Program to Inspect Auditors of Broker Dealers, Februar...
AICPA Comment Letter to PCAOB regarding Temporary Rule on Interim Program to Inspect Auditors of Broker Dealers, February 15, 2011
Published on March 10, 2011
The CPA Advocate - Archived articles 2012
Find 2012 archived articles from the AICPA's advocacy newsletter, The CPA Advocate.
Published on March 19, 2014
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