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The PCAOB Interim Inspection Program is focused on the external auditor that provides services to the Broker-Dealer.


Immersing yourself in the PCAOB Audit Tradecraft for External Auditors of Broker-Dealers is akin to embarking on a quest for precision and unwavering commitment to auditing excellence. Central to this mission is the PCAOB's dedication to preventing financial misdeeds reminiscent of past scandals like Bernie Madoff. The PCAOB's inspection regime for Broker-Dealer auditors acts as a crucial layer of oversight, complementing the regulatory framework governing the Broker-Dealer sector.


As we delve into the intricacies of PCAOB inspections, it's clear that audit firms are called upon to conduct a thorough and introspective evaluation of their Broker-Dealer audit engagements. This endeavor transcends mere compliance; it's a deep dive into ensuring the firm's practices not only meet but embody the highest standards of ethical conduct and professional responsibility:

  • Are the firm's methodologies in harmony with PCAOB standards, reflecting a genuine commitment to these pivotal guidelines beyond simple compliance?
  • How has the firm navigated the identification and mitigation of substantial risks associated with Broker-Dealer compliance, safeguarding the integrity of financial statements under scrutiny?
  • In examining Internal Control over Compliance, what approaches have been adopted by the audit team to ensure a comprehensive and precise assessment?
  • Crucially, has the audit team upheld the independence mandated by SEC and PCAOB regulations throughout this process, thereby reinforcing the trust placed in them by the public and market stakeholders?


By addressing these questions directly, an audit firm not only responds to regulatory expectations but also demonstrates a profound commitment to transparency, excellence, and a sincere dedication to the public good.


To achieve such lofty standards, it's imperative for audit team members to cultivate daily behaviors or "tradecraft" that embody essential values for preventing failures. The focus of this CPE Event is to nurture such tradecraft, which includes:

  • Empathy and Understanding
  • Ethics and Integrity
  • Inquisitiveness and Intellectual Curiosity
  • Analytical Skills and Attention to Detail
  • Exceptional Communication Skills
  • Adaptability and Continuous Learning
  • Understanding Business Risk


Additionally, this event equips participants with a thorough grasp of PCAOB audit standards and offers insights into the regulatory landscape that shapes the accounting and auditing practices for public companies. Spanning a broad range of PCAOB regulatory activities, from auditing and ethics standards to independence and quality control standards, this seminar aims to empower CPA firm staff involved in PCAOB-regulated audits with practical knowledge.


This essential two-day CPE seminar is tailor-made for CPA firm staff who are instrumental in conducting audits regulated by the PCAOB. Participants will acquire the skills to craft effective audit workpapers designed to withstand PCAOB inspection rigor.


Participants of this PCAOB auditing standard CPE event will be awarded 2 CPE Event Hours (YB) and receive a certificate of completion.


Seize this chance to deepen your expertise in conducting PCAOB-regulated audits for SEC-regulated Broker-Dealers. Register today to gain invaluable insights and methodologies that will enhance your proficiency in PCAOB-regulated attestation engagements.

PCAOB Audit Tradecraft for the Broker-Dealer External Auditor

  • Offered on Wednesday-Thursday once every six weeks in two six hour sessions for 12 CPE credits.

    The sessions will run from 9:00 a.m. to 3:00 p.m. Central Time Zone. There will be a lunch break from 12:00 noon to 12:30 p.m. each day.

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

    NASBA Program Disclosure

    Program Level of Understanding: Intermediate to advanced

    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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