Expert Panel - Stockbrokerage and Investment Banking

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.	Industry News 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.

Past Meeting Highlights 2012 Meetings March 7, 2012 2011 Meetings December 7, 2011 September 21, 2011 June 8, 2011 March 9, 2011	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. Michael Fehrman, Deutsche Bank Dipti Gulati, Deloitte & Touche LLP Christopher Johnson, Crowe Horwath LLP Paul Lameo, PricewaterhouseCoopers LLP Michael McQuade, Prudential Investment Management Services LLC Hiren Modi, Harb, Levy & Weiland LLP Paul Nockels, McGladrey & Pullen LLP Daniel Palomaki, Citigroup Mark Ramler, Grant Thornton LLP Michael D. Smith, KPMG LLP

Staff Contacts Irina Portnoy, Technical Manager

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.

Industry News

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.