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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

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 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

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