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
Registration and Inspection of the Auditors of Broker-Dealers
Article:
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
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
AICPA Comment Letter to PCAOB regarding Temporary Rule on Interim Program to Inspect Auditors of Broker Dealers, Februar...
Comment Letter:
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)
Overview:
Find 2012 archived articles from the AICPA's advocacy newsletter, The CPA Advocate.
Published on October 17, 2012
Federal Legislative and Regulatory Issues
Federal Law:
This page highlights the advocacy issues in which the Congressional & Political Affairs Team is advocating on behalf of the profession, and also those issues that the team has recently followed.
Published on March 29, 2013
Financial Regulatory Reform
Article:
Responding to the 2007-2009 financial crisis, Congress debated comprehensive financial regulatory legislation that would address systemic risks, provide U.S. regulators with new resolution authorities and create a new consumer financial protection bureau. Listed in this article are specific provisions in the pending legislation, and potential amendments that concern the accounting
Published on February 04, 2013