The Public Company Accounting Oversight Board
(PCAOB) is to consider an interim inspection program for brokers
and dealers’ audits and funding rules.
The proposal follows the Dodd-Frank Wall
Street Reform and Consumer Protection Act to enhance expanded
oversight responsibilities for audits of brokers and dealers.
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Also consistent with the Dodd-Frank Act is the
board’s proposal to assess and collect accounting support fee from
brokers and dealers.
Amendments to existing funding rules related
to issuers will be considered at the same time. The PCAOB has
received comments on both proposals.
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By GlobalData
