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    SEC

    Toolkit Gain access to SEC resources including rules and regulations, interpretive guidance, enforcement information, SEC Regulations Committee materials and other information relevant to public company audits
    Published on March 27, 2013

    SEC Regulations Committee

    Meeting Highlights Learn more about the SEC Regulations Committee and International Practices Task Force and gain access to corresponding meeting highlights and discussion documents
    Published on June 30, 2010

    SEC Rules and Regulations

    Article SEC rulemaking activity includes concept releases, proposed rules, final rules and interpretive releases. The CAQ has provided the following links to assist member firms in accessing the securities laws, SEC...
    Published on September 20, 2012

    CAQ Alert #2014-11 - SEC/PCAOB Independence Rules for Non-Issuer Audit and Attestation Engagements

    Article SEC/PCAOB Independence Rules for Non-Issuer Audit and Attestation Engagements - CAQ Alert #2014-11
    Published on November 19, 2014

    SEC Interpretive Guidance

    Guidance Access SEC staff written and oral statements on various accounting and legal matters. These staff interpretations provide guidance to those who must comply with the federal securities laws
    Published on July 23, 2014

    Ethics and Independence

    Guidance Public company audit firms are required to comply with SEC and PCAOB ethics and independence rules and standards. Access public company auditor ethics & independence rules, standards and guidance here
    Published on August 12, 2011

    CAQ Alert #2012-05

    Article SEC Staff Reminds Auditors of Requirement on Audit Reports Related to Financial Statements Prepared According to IFRS as Issued by the IASB
    Published on March 19, 2012

    CAQ Alert #2014-6 - Broker and Dealer Alert

    Article Updates to SEC and CFTC Regulations and Related Audit and Attestation Reports of Brokers and Dealers and Futures Commission Merchants, including those that are Dual-Registered
    Published on May 13, 2014

    SEC Inquiry Resource

    Overview CAQ members with inquiries relevant to audits of public companies are encouraged to visit the CAQ Technical Inquiry Resource.
    Published on November 18, 2013

    CAQ SEC Regulations Committee Highlights - Form 8K for 11K

    Meeting Highlights View SEC Regulations Committee meeting highlights related to Form 8-K requirements for Form 11-K filers
    Published on April 06, 2010

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