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AICPA/SIFMA FMS National Conference on the Securities Industry 2012 Live

Report on the Progress of the Interim Inspection Program of Audits of Brokers and Dealers

Nov 29, 2012 1:00pm ‐ Nov 29, 2012 1:50pm


The Dodd-Frank Act gave the PCAOB authority with respect to the inspections, standards-setting, investigations, and disciplinary proceedings over auditors of brokers and dealers. Following that, the PCAOB began interim inspections of broker-dealer audits to help in its process of developing a permanent inspection program. This summer the PCAOB released its report on the interim inspections conducted at securities firm audits. Bob Maday will walk us through what they found and how those findings might shape the PCAOB’s permanent program.


  • Robert Maday, Regional Associate Director, Division of Registration and Inspections, Public Company Accounting Oversight Board

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