PCAOB Board Member to Host Forum for Auditors of Small Businesses and Auditors of Broker-Dealers

On October 9, 2025, the PCAOB announced that PCAOB Board Member Kara M. Stein will host an in-person forum on auditing in the small business environment and on auditing broker-dealers. The forum will take place on November 12, 2025 at Loyola Marymount University in Los Angeles. This forum is part of a series of 2025 forums tailored to firms auditing smaller companies or broker-dealers.

The agenda includes presentations and discussions around (i) illustrative examples of audit risks associated with revenue, cash flow projections, related party transactions, and review of exemption reports and (ii) resources that the PCAOB has recently released to assist and inform auditors in their implementation QC 1000, A Firm’s System of Quality Control, and other standards. Presentations will be made by PCAOB staff, SEC staff, and FINRA staff.

Attendance is free, but advance registration is required. Attendees can earn continuing professional education credits. The forum will also be recorded and made available on the PCAOB’s website.

Registration can be completed here.