Board Member Thompson to Host Forum in Irving, Texas, for Auditors of Small Businesses and Auditors of Broker-Dealers

The Public Company Accounting Oversight Board (PCAOB) announced today that PCAOB Board Member Anthony C. Thompson will host an in-person forum on auditing in the small business environment and on auditing broker-dealers on September 16, 2025. The one-day event – part of a series of 2025 forums – will take place at the Westin Irving Convention Center at Las Colinas (400 W. Las Colinas Blvd, Irving, TX, 75039).

“Engaging with stakeholders is essential to the PCAOB’s success in carrying out its investor-protection mission,” said Board Member Thompson. “I look forward to hosting the forum in Irving to discuss how the PCAOB is driving audit quality forward, and to highlight staff guidance available to auditors of smaller public companies and SEC-registered broker-dealers.”

Tailored to PCAOB-registered firms auditing smaller public companies or broker-dealers, the forums provide a unique opportunity for auditors to interact with representatives from the PCAOB and other regulators.

In addition to remarks from Board Member Thompson, the agenda includes the following:

• Presentations by PCAOB staff from the Office of the Chief Auditor, the Division of Registration and Inspections, and the Division of Enforcement and Investigations.
• Presentation of illustrative examples related to audit risks associated with revenue, cash flow projections, related party transactions, and review of exemption reports.
• Discussion of 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 by staff of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

Registration Required for the September 16 Forum; CPE Available

There is no fee to attend the Irving forum, but advance registration is required and can be completed here. The event will also be livestreamed, and, as with the previous forums, recordings from the event will be made available on the PCAOB’s website. Attendees can earn continuing professional education (CPE) credits.

Forum attendees are encouraged to submit questions in advance via email. There also will be an opportunity to submit questions during the forum.

Visit the PCAOB’s Information for Smaller Firms page – which the PCAOB maintains as part of its ongoing efforts to support smaller audit firms – to find resources including publications, videos, and a sign-up form for the Communications to Small Audit Firm Practitioners mailing list.

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About the PCAOB

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers registered with the Securities and Exchange Commission, including compliance reports filed pursuant to federal securities laws.