Understanding Requirements for Your Annual Reports

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About This Course

This CLE program provides guidance on steps a broker-dealer can take to prepare for their annual audit. Representatives from the Securities and Exchange Commission (SEC) Office of the Chief Accountant, the PCAOB, a PCAOB-registered auditor, and a representative from a small broker-dealer will discuss key topics for broker-dealers to know and understand about this important subject, with an emphasis on lessons learned.

Topics discussed:

  • Understand the annual reporting requirements for broker-dealers in light of 2013 amendments to SEA Rule 17a-5 (Reports to be Made by Certain Brokers and Dealers)
  • Develop insight into the audit process
  • Know best practices to work effectively with your auditor
  • Avoid practices that presented issues for broker-dealers and their auditors

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