The Securities and Exchange Commission's (SEC) proposed amendments to the broker-dealer financial reporting rule (rule 17a-5) has opened for public comment. In addition, the Public Company Accounting Oversight Board (PCAOB) has issued a set of proposed audit and attestation standards for audit engagements of broker-dealers.
An outgrowth of last year’s Dodd-Frank legislation, the SEC proposal provides three sets of amendments to Rule 17a-5 that will include: changes to the annual reporting requirements for broker-dealers and their auditors, a new requirement for certain broker-dealers to consent to have the SEC discuss audit findings and related documentation with their auditors, and a new requirement for broker-dealers to file an unaudited Form Custody quarterly.
With the comment period closing on 26 August 2011, you are invited to join Ernst & Young professionals who will review the issues.
Agenda for the discussion:
2012 Jun 21 11:00 AM Eastern time
2011 Sep 22 11:00 AM Eastern time
2011 Sep 08 10:00 AM Eastern time
2011 Apr 12 10:00 AM Eastern time
2011 Feb 28 10:00 AM Eastern time
View all in Banking & Capital Markets
Originally broadcast on:
Wednesday, July 20, 20111:00 pm Eastern time
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