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The PCAOB has performed inspections of firms that audit broker-dealers since the inception of the
interim inspection program in 2011, and 2021 marked the 11th year of these inspections. While inspection results over that period indicate that the quality of broker-dealer audit and attestation engagements has improved, the overall deficiency rates remained unacceptably high from the PCAOB's viewpoint.


This event covers the key observations from PCAOB 2021 inspections of external auditing firms that audit broker-dealers include the following:


  • The percentage of firms inspected remained high
  • The percentage of audit engagements reviewed where deficiencies where identified declined
  •  There are still a high number of inspections that report deficiencies with auditing revenue
  • The detail deficiencies where identified by the PCAOB inspections


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 PCAOB inspection process and refine your audit practice to meet regulatory requirements. Register now to equip yourself with the necessary skills for successful external auditing in the dynamic regulatory landscape.

PCAOB Broker Dealer Inspections

  • 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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