The following table compiled by the AICPA Stockbrokerage and Investment Banking Expert Panel and AICPA staff summarizes relevant audit, attestation, and independence standards. This information will assist AICPA members performing audit and attestation engagements for certain Securities and Exchange Commission (SEC) and/or Commodity Futures Trading Commission (CFTC)-registered entities in broker-dealer industry. This table is based upon current applicable rules and/or law, as well as the AICPA Code of Professional Conduct.
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Audit, Attestation, Independence Standards – BD industry
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Download the brd-ep-applicable-standards-7-11-22
File name: brd-ep-applicable-standards 7.11.22 for posting.pdf
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