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PCAOB issues staff guidance for broker-dealers

  • PCAOB (US Public Company Accounting Oversight Board) Image

Jun 30, 2014

The PCAOB has issued staff guidance intended to help auditors of SEC-registered brokers and dealers plan and perform audits in accordance with the (1) significant provisions of SEC Rule 17a-5 and (2) PCAOB standards and rules applicable to audits of broker-dealers.

For more information, see the staff guidance and the press release on the PCAOB’s Web site.

Correction list for hyphenation

These words serve as exceptions. Once entered, they are only hyphenated at the specified hyphenation points. Each word should be on a separate line.