Webinar: New Reporting Requirements for Broker-Dealers, May 13 & 28

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Significant changes are about to take effect for broker-dealers and auditors alike. New rules have been adopted by the Securities and Exchange Commission (SEC) and the responsibility for oversight of …

Significant changes are about to take effect for broker-dealers and auditors alike. New rules have been adopted by the Securities and Exchange Commission (SEC) and the responsibility for oversight of auditors of broker-dealers has been delegated to the Public Company Accounting Oversight Board (PCAOB). As a result, broker-dealers will be required to file new schedules with the SEC and auditors will begin performing such audits in accordance with the standard of the PCAOB. Learn how you can prepare for these requirements during this free webinar from CBIZ and Mayer Hoffman McCann.

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  • 1. Significant changes are about to take effect for broker-dealers and auditors alike. New rules have been adopted by the Securities and Exchange Commission (SEC) and the responsibility for oversight of auditors of broker-dealers has been delegated to the Public Company Accounting Oversight Board (PCAOB). As a result, broker-dealers will be required to file new schedules with the SEC and auditors will begin performing such audits in accordance with the standard of the PCAOB. Learn how you can prepare for these requirements during this free webinar from CBIZ and Mayer Hoffman McCann. Learning Objectives Topics covered will include: • New reporting requirements for broker-dealers in quarterly and annual reports filed with the SEC • New audit and attestation standards issued by the PCAOB • Changes to the audit process as a result of executing audits in accordance with the standards of the PCAOB Register for this free course online at www.mhmcpa.com. CBIZ & MHM Executive Education Series™CBIZ & MHM Executive Education Series™ New Reporting Requirements for Broker-Dealers 2014 Series • Course 10 © Copyright 2014. CBIZ & Mayer Hoffman McCann P.C. All rights reserved. Questions or more information? Mike Loritz | 913.234-1226 | mloritz@cbiz.com Tuesday May 13, 2014 11 a.m.–1 p.m. Central Time Wednesday May 28, 2014 11 a.m.–1 p.m. Central Time Eligible for 2 CPE credits