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This PCAOB standard establishes requirements that apply when an auditor is engaged to perform an examination of certain statements made by a broker dealer in a compliance report for the SEC.


SEC Rule 17a-5 requires a broker dealer's compliance report to include the following statements:

  • The Internal Control Over Compliance (ICOC) was effective during the most recent fiscal year
  • The ICOC was effective as of the end of the most recent fiscal year
  • The broker or dealer was in compliance with the net capital rule and met the reserve requirements rule


This timely, two hour morning CPE training event is designed for the CPA firm staff members who will be working on PCAOB regulated audits. The attendees will learn the findings that the PCAOB have disclosed in their annual report on the broker dealer inspectin program.


Attendees in this PCAOB auditing standard CPE event will earn 2 CPE Event Hours (YB). A certificate of completion will be provided.


Don't miss this opportunity to enhance your understanding of providing an examination engagements concerning a broker-dealer's reporting to the SEC. Register now to gain valuable insights and techniques that will elevate your effectiveness in conducting PCAOB regulated audits.

PCAOB Attestation Standard No. 1

  • Offered every six weeks on Wednesdays at 1:00 p.m. to 3:00 p.m. Central Time in two CPE-Credit event.

    We can schedule private events on your timetable for two or more attendees.

    NASBA Program Disclosure

    Program Level of Understanding: Basic
    Prerequisites: None
    Advance Preparation: None
    Delivery Format: Group Internet Based
    NASBA Field(s) of Study: Auditing
    CPE Credits: 2, based on 50 minutes of instruction per hour

In the event you haven't seen an email from confirming your registration land in your inbox, there's a chance it might have taken a little detour into your spam, junk, or quarantine folder. If you could take a moment to peek in there and kindly mark it as "not spam" or “not junk,” that would be fantastic. On the off chance that your firewall is being a bit overprotective and preventing the email from even reaching your spam folder, please don’t hesitate to give me a ring at 479-200-4373. I’m here to ensure everything’s set straight for you.

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