Username

Password

Remember Me Register | Forgot Username? | Password?

Home Interest Areas Financial Reporting Center Industry Insights Expert Panel - Stockbrokerage and Investment Banking

Expert Panel - Stockbrokerage and Investment Banking

About the Expert Panel

The Stockbrokerage and Investment Banking Expert Panel serves the needs of AICPA members on financial and business reporting and audit and attest matters. The expert panel protects the public interest by bringing together knowledgeable parties in the stockbrokerage and investment banking industry to deliberate and come to agreement on key stockbrokerage and investment banking issues.

Expert Panel Projects

The AICPA Stockbrokerage and Investment Banking Expert Panel developed an example of an illustrative independent accountants' report on applying agreed-upon procedures related to the entity's claim for exclusion from membership in SIPC (Form SIPC-3), which is currently being reviewed by the specified parties. Once all parties have agreed, an illustrative example of such report will be posted here.

The following excerpts from the guide are available:

Industry News and Resources

The Office of Compliance Inspections and Examinations announced the National Examination Program’s 2013 examination priorities for investment advisers and investment companies, broker-dealers, clearing and transfer agents, and market oversight.

On June 14, 2011, the PCAOB adopted an interim rule to create a temporary inspection program for auditors of broker-dealers which includes all auditors of all broker-dealers in its pilot program and has announced a schedule of forums to be held on auditing considerations for smaller broker-dealers for 2012.

On August 20, 2012, PCAOB issued its first progress report on interim inspections of broker-dealer audits.

Past Meeting Highlights March 6, 2013 December 5, 2012 September 5, 2012 June 6, 2012 March 7, 2012 Archived Meeting Highlights	Members of the Expert Panel Stephen A. Zammitti (Chair), Ernst & Young LLP Jeffrey Alfano, Oppenheimer & Co Brett Beldner, Barclays Capital David Bonnar, Morgan Stanley Karen L. Dealey, Jefferies & Co. Christopher Donovan, Deloitte & Touche LLP Michael Fehrman, Deutsche Bank Craig Goodman, EisnerAmper LLP Christopher Johnson, Crowe Horwath LLP Paul Lameo, PricewaterhouseCoopers LLP Michael McQuade, Prudential Investment Management Services LLC Paul Nockels, McGladrey LLP Daniel Palomaki, Citigroup Mark Ramler, Grant Thornton LLP Michael D. Smith, KPMG LLP Learn more about the expert panel members by reading their biographies.

Staff Contacts Irina Portnoy, Technical Manager

Past Meeting Highlights

Archived Meeting Highlights

Members of the Expert Panel

Stephen A. Zammitti (Chair), Ernst & Young LLP

Jeffrey Alfano, Oppenheimer & Co

Brett Beldner, Barclays Capital

David Bonnar, Morgan Stanley

Karen L. Dealey, Jefferies & Co.

Christopher Donovan, Deloitte & Touche LLP

Michael Fehrman, Deutsche Bank

Craig Goodman, EisnerAmper LLP

Christopher Johnson, Crowe Horwath LLP

Paul Lameo, PricewaterhouseCoopers LLP

Michael McQuade, Prudential Investment Management Services LLC

Paul Nockels, McGladrey LLP

Daniel Palomaki, Citigroup

Mark Ramler, Grant Thornton LLP

Michael D. Smith, KPMG LLP

Learn more about the expert panel members by reading their biographies.

Staff Contacts

Irina Portnoy, Technical Manager


Expert Panel Recommended Guidance
Publications AICPA Audit and Accounting Guide Brokers and Dealers in Securities AICPA Audit Risk Alert Financial Institutions Industry Developments: Including Depository and Lending Institutions and Brokers and Dealers in Securities	CPE and Conferences Continuing Professional Education Conferences


News	Training & Development

A A A

Print Page

Get a free version of Adobe Acrobat Reader