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Google Keyword Rankings for : pcaob broker dealer report
1
https://www.accountingtoday.com/news/pcaob-seeing-numerous-problems-in-broker-dealer-audits
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https://www.accountingtoday.com/news/pcaob-seeing-numerous-problems-in-broker-dealer-audits
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2
https://dart.deloitte.com/USDART/home/auditing/pcaob/pcaob-material-supplement/fact-sheet-pcaob-standards-for-broker
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https://dart.deloitte.com/USDART/home/auditing/pcaob/pcaob-material-supplement/fact-sheet-pcaob-standards-for-broker
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3
https://pcaob-assets.azureedge.net/pcaob-dev/docs/default-source/inspections/documents/2020-broker-dealer-supplementary-information.pdf?sfvrsn=20c433a8_8
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https://pcaob-assets.azureedge.net/pcaob-dev/docs/default-source/inspections/documents/2020-broker-dealer-supplementary-information.pdf?sfvrsn=20c433a8_8
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4
https://keitercpa.com/blog/2022-pcaob-inspection-report-broker-dealer-audits/
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https://keitercpa.com/blog/2022-pcaob-inspection-report-broker-dealer-audits/
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5
https://jimhamiltonblog.blogspot.com/2021/08/pcaob-broker-dealer-audit-report.html
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https://jimhamiltonblog.blogspot.com/2021/08/pcaob-broker-dealer-audit-report.html
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6
https://www.journalofaccountancy.com/news/2022/aug/pcaob-report-quality-audits-improve-2021-still-lacking.html
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https://www.journalofaccountancy.com/news/2022/aug/pcaob-report-quality-audits-improve-2021-still-lacking.html
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7
https://www.nysscpa.org/news/publications/the-trusted-professional/article/pcaob-report-unacceptably-high-deficiency-rates-in-broker-dealer-audit-inspections-082222
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https://www.nysscpa.org/news/publications/the-trusted-professional/article/pcaob-report-unacceptably-high-deficiency-rates-in-broker-dealer-audit-inspections-082222
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8
https://www.mhmcpa.com/insights/article/pcaob-report-provides-valuable-information-for-selecting-a-broker-dealer-auditor
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https://www.mhmcpa.com/insights/article/pcaob-report-provides-valuable-information-for-selecting-a-broker-dealer-auditor
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9
https://www.sec.gov/rules/other/2021/34-91128.pdf
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https://www.sec.gov/rules/other/2021/34-91128.pdf
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10
https://www.rubinbrown.com/article/1603/PCAOB-Adopts-Standards-And-Amendments-For-Broker-Dealers.aspx?articlegroup=
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https://www.rubinbrown.com/article/1603/PCAOB-Adopts-Standards-And-Amendments-For-Broker-Dealers.aspx?articlegroup=
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11
https://www.adkf.com/news/broker-dealer-audits-and-compliance
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https://www.adkf.com/news/broker-dealer-audits-and-compliance
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12
https://www.jgacpa.com/broker-dealer-update-two-years-later-and-still-struggling
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https://www.jgacpa.com/broker-dealer-update-two-years-later-and-still-struggling
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13
https://store.tax.thomsonreuters.com/accounting/Audit-and-Accounting/PPCs-Practice-Aids-for-Audits-of-Broker-Dealers/p/100207129
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https://store.tax.thomsonreuters.com/accounting/Audit-and-Accounting/PPCs-Practice-Aids-for-Audits-of-Broker-Dealers/p/100207129
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14
https://us.aicpa.org/interestareas/frc/industryinsights/expert-panel-stockbrokerage-and-investment-banking
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https://us.aicpa.org/interestareas/frc/industryinsights/expert-panel-stockbrokerage-and-investment-banking
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15
https://www.bakertilly.com/insights/pcaob-annual-report-on-the-interim-inspection-program
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https://www.bakertilly.com/insights/pcaob-annual-report-on-the-interim-inspection-program
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16
https://www.complianceweek.com/accounting-and-auditing/pcaob-study-improved-quality-control-needed-in-broker-dealer-audits/29353.article
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https://www.complianceweek.com/accounting-and-auditing/pcaob-study-improved-quality-control-needed-in-broker-dealer-audits/29353.article
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17
https://www.forvis.com/sites/default/files/2021-10/Broker-Dealer%20Audit%20Quality%20-%202020%20Update.pdf
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https://www.forvis.com/sites/default/files/2021-10/Broker-Dealer%20Audit%20Quality%20-%202020%20Update.pdf
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18
https://www.kmiig.com/articles/broker-dealer-update-recent-sec-amendments-and-pcaob-audit-findings/
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https://www.kmiig.com/articles/broker-dealer-update-recent-sec-amendments-and-pcaob-audit-findings/
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19
https://jenniferwraycpa.com/service/pcaob-broker-dealer-audit
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https://jenniferwraycpa.com/service/pcaob-broker-dealer-audit
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20
https://meridian.allenpress.com/cia/article/12/2/A12/9162/The-Continuing-Evolution-of-Auditor-Reporting-in
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https://meridian.allenpress.com/cia/article/12/2/A12/9162/The-Continuing-Evolution-of-Auditor-Reporting-in
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21
https://www.compliance-seminars.com/cpe-event-pcaob-broker-dealer-inspections-training
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https://www.compliance-seminars.com/cpe-event-pcaob-broker-dealer-inspections-training
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22
https://www.sullcrom.com/Broker_Dealer_Audit_and_Reporting_Updates
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https://www.sullcrom.com/Broker_Dealer_Audit_and_Reporting_Updates
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23
https://www.berrydunn.com/news-detail/2020-annual-report-on-the-interim-inspection-program-related-to-audits-of-brokers-and-dealers
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https://www.berrydunn.com/news-detail/2020-annual-report-on-the-interim-inspection-program-related-to-audits-of-brokers-and-dealers
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24
https://www.cpeonline.com/conference/webinar/new-broker-dealer-audit-rules--an-update-direct-from-a-pcaob-regulator-webinar-%281-hour%29-510
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https://www.cpeonline.com/conference/webinar/new-broker-dealer-audit-rules--an-update-direct-from-a-pcaob-regulator-webinar-%281-hour%29-510
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25
https://sansonecpa.com/all-blog-post/taxation/deficiencies-found-broker-dealer-audits/
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https://sansonecpa.com/all-blog-post/taxation/deficiencies-found-broker-dealer-audits/
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26
https://www.cropperaccountancy.com/brokerdealers.php
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https://www.cropperaccountancy.com/brokerdealers.php
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27
https://www.ewallp.com/broker-dealer-audit-deficiencies/
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https://www.ewallp.com/broker-dealer-audit-deficiencies/
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28
https://www.finracompliance.com/pcaob-audit-rules-for-broker-dealers/
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https://www.finracompliance.com/pcaob-audit-rules-for-broker-dealers/
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29
https://www.thefreelibrary.com/Major+changes+for+broker%2Fdealer+audits%3A+preparing+for+PCAOB...-a0355469022
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https://www.thefreelibrary.com/Major+changes+for+broker%2Fdealer+audits%3A+preparing+for+PCAOB...-a0355469022
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30
https://ajsh.in/what-are-broker-dealer-audits/
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https://ajsh.in/what-are-broker-dealer-audits/
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31
https://aicpaconferences.com/aicpa/products/view/9620
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https://aicpaconferences.com/aicpa/products/view/9620
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32
https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3302815
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https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3302815
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33
https://www.teamdkb.com/blog/6-questions-brokers-dealers-should-ask-their-cpa-firm/
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https://www.teamdkb.com/blog/6-questions-brokers-dealers-should-ask-their-cpa-firm/
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34
https://patrina.com/wp-content/uploads/2018/09/Avoid-Compliance-Exposure.pdf
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https://patrina.com/wp-content/uploads/2018/09/Avoid-Compliance-Exposure.pdf
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35
https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03353.pdf
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https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03353.pdf
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36
https://www.thecaq.org/wp-content/uploads/2019/03/caq_alert_2018-04_broker_dealer_use_service_organization.pdf
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https://www.thecaq.org/wp-content/uploads/2019/03/caq_alert_2018-04_broker_dealer_use_service_organization.pdf
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37
https://www.federalregister.gov/documents/2011/06/27/2011-15341/broker-dealer-reports
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https://www.federalregister.gov/documents/2011/06/27/2011-15341/broker-dealer-reports
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38
https://www.linkedin.com/pulse/pcaob-charges-broker-dealer-audits-unacceptably-faulty-ted-knutson
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https://www.linkedin.com/pulse/pcaob-charges-broker-dealer-audits-unacceptably-faulty-ted-knutson
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39
https://www.wilsonelser.com/news_and_insights/insights/951-sec_proposes_changes_to_reporting_requirements
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https://www.wilsonelser.com/news_and_insights/insights/951-sec_proposes_changes_to_reporting_requirements
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40
https://goldmancompany.com/services/broker_dealer_audit/
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https://goldmancompany.com/services/broker_dealer_audit/
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41
https://www.acisecure.com/sec-grants-additional-30-days-for-certain-broker-dealers-to-file-annual-reports/
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https://www.acisecure.com/sec-grants-additional-30-days-for-certain-broker-dealers-to-file-annual-reports/
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42
https://www.daypitney.com/insights/publications/2013/10/preventing-another-madoff-sec-adopts-new-custody__/
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https://www.daypitney.com/insights/publications/2013/10/preventing-another-madoff-sec-adopts-new-custody__/
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43
https://www.straffordpub.com/products/broker-dealer-audits-overcoming-costly-deficiencies-in-pcaob-examinations-and-avoiding-sanctions-2020-04-28
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https://www.straffordpub.com/products/broker-dealer-audits-overcoming-costly-deficiencies-in-pcaob-examinations-and-avoiding-sanctions-2020-04-28
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44
https://www.iasplus.com/en/news/2013/12/pcaob-broker-and-transparency
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https://www.iasplus.com/en/news/2013/12/pcaob-broker-and-transparency
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45
https://www.jdsupra.com/legalnews/sec-issues-final-rules-on-audits-of-brok-45446/
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https://www.jdsupra.com/legalnews/sec-issues-final-rules-on-audits-of-brok-45446/
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46
https://www.davispolk.com/sites/default/files/files/Publication/bb7a0029-ddfa-4ccd-ad07-528a3a6ab354/Preview/PublicationAttachment/6d63543e-5edc-401e-bbf8-8c9d7ed88b8d/072111_SEC_Rule_17a-5.pdf
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47
https://www.grassicpas.com/blog/sec-extends-annual-report-deadline-for-small-broker-dealers/
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https://www.grassicpas.com/blog/sec-extends-annual-report-deadline-for-small-broker-dealers/
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48
https://www.pkfod.com/insights/sec-extends-annual-report-filling-deadline-for-certain-smaller-broker-dealers/
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https://www.pkfod.com/insights/sec-extends-annual-report-filling-deadline-for-certain-smaller-broker-dealers/
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49
https://www.law.cornell.edu/cfr/text/17/240.17a-5
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https://www.law.cornell.edu/cfr/text/17/240.17a-5
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50
https://www.investmentnews.com/so-far-not-so-good-for-broker-dealer-audits-46305
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https://www.investmentnews.com/so-far-not-so-good-for-broker-dealer-audits-46305
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51
https://weaver.com/blog/sec-grants-30-day-extension-annual-report-deadline-small-broker-dealers
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https://weaver.com/blog/sec-grants-30-day-extension-annual-report-deadline-small-broker-dealers
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52
https://www.brigliahundley.com/wp-content/uploads/pdf/02-01-18-Briglia-Hundley-Robert-Cox-Published-in-Law360.pdf
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https://www.brigliahundley.com/wp-content/uploads/pdf/02-01-18-Briglia-Hundley-Robert-Cox-Published-in-Law360.pdf
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53
https://www.mondaq.com/unitedstates/accounting-standards/731080/pcaob-finds-high-levels-of-audit-deficiencies-among-broker-dealer-auditors
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https://www.mondaq.com/unitedstates/accounting-standards/731080/pcaob-finds-high-levels-of-audit-deficiencies-among-broker-dealer-auditors
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54
https://www.sechistorical.org/museum/galleries/pcaob/pcaob07_expanding_mandate.php
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https://www.sechistorical.org/museum/galleries/pcaob/pcaob07_expanding_mandate.php
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55
https://www.reuters.com/article/usa-audits-fraud/watchdog-finds-problems-in-dozens-of-u-s-broker-dealer-audits-idUSL2N0GK0D920130819
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https://www.reuters.com/article/usa-audits-fraud/watchdog-finds-problems-in-dozens-of-u-s-broker-dealer-audits-idUSL2N0GK0D920130819
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56
https://www.wsj.com/articles/inspectors-again-find-problems-in-how-broker-dealers-are-audited-pcaob-says-1503074899
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https://www.wsj.com/articles/inspectors-again-find-problems-in-how-broker-dealers-are-audited-pcaob-says-1503074899
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57
https://corpgov.law.harvard.edu/2012/10/03/pcaob-protecting-investors-and-the-public-interest/
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https://corpgov.law.harvard.edu/2012/10/03/pcaob-protecting-investors-and-the-public-interest/
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58
https://www.finra.org/rules-guidance/notices/information-notice-111221
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https://www.finra.org/rules-guidance/notices/information-notice-111221
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59
https://pcaobus.wd1.myworkdayjobs.com/en-US/PCAOB/job/Atlanta-GA/Inspections-Specialist--Audit-Regulator----Atlanta--GA_R119-1
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https://pcaobus.wd1.myworkdayjobs.com/en-US/PCAOB/job/Atlanta-GA/Inspections-Specialist--Audit-Regulator----Atlanta--GA_R119-1
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60
https://www.cogcpa.com/the-broker-dealer-exemption-report-webinar-october-15/
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https://www.cogcpa.com/the-broker-dealer-exemption-report-webinar-october-15/
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61
https://medium.com/bull-market/when-big-four-audit-firms-need-an-audit-they-choose-cheap-5c64d3d827b5
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https://medium.com/bull-market/when-big-four-audit-firms-need-an-audit-they-choose-cheap-5c64d3d827b5
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62
https://financialregnews.com/accounting-oversight-board-sees-increase-deficiencies-audits-broker-dealers/
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https://financialregnews.com/accounting-oversight-board-sees-increase-deficiencies-audits-broker-dealers/
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63
https://www.dodd-frank.com/2013/10/pcaob-adopts-standards-for-broker-dealer-audits/
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https://www.dodd-frank.com/2013/10/pcaob-adopts-standards-for-broker-dealer-audits/
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64
https://www.morganlewis.com/pubs/2012/08/pcaob-issues-report-on-the-interim-inspection-program-for-bd-auditors
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https://www.morganlewis.com/pubs/2012/08/pcaob-issues-report-on-the-interim-inspection-program-for-bd-auditors
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65
https://www.cohnreznick.com/industries/financial-sponsors-and-financial-services/broker-dealers
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https://www.cohnreznick.com/industries/financial-sponsors-and-financial-services/broker-dealers
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66
https://s26.q4cdn.com/446391466/files/doc_downloads/2022/03/SSGM-2021-Statement-of-Financial-Condition.pdf
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https://s26.q4cdn.com/446391466/files/doc_downloads/2022/03/SSGM-2021-Statement-of-Financial-Condition.pdf
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67
https://blog.auditanalytics.com/the-audit-firms-of-broker-dealers/
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https://blog.auditanalytics.com/the-audit-firms-of-broker-dealers/
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68
https://ypfsresourcelibrary.blob.core.windows.net/fcic/YPFS/PwC%20New%20FOCUS%20on%20Financial%20Responsibility%209-1-1.pdf
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69
https://www.reginfo.gov/public/do/DownloadDocument?objectID=47531201
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https://www.reginfo.gov/public/do/DownloadDocument?objectID=47531201
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70
https://www.accountingweb.com/aa/auditing/broker-dealer-audit-deficiencies-continue-at-a-high-level-pcaob-says
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https://www.accountingweb.com/aa/auditing/broker-dealer-audit-deficiencies-continue-at-a-high-level-pcaob-says
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71
https://www.youtube.com/watch?v=aWiUmZ1se8I
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https://www.youtube.com/watch?v=aWiUmZ1se8I
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72
https://www.gaapdynamics.com/insights/blog/2015/11/03/don%E2%80%99t-get-caught-offside-when-auditing-broker-dealers/
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https://www.gaapdynamics.com/insights/blog/2015/11/03/don%E2%80%99t-get-caught-offside-when-auditing-broker-dealers/
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73
https://www.auditconduct.com/post/inspectors-say-some-broker-dealer-auditors-still-need-to-get-independence-right
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https://www.auditconduct.com/post/inspectors-say-some-broker-dealer-auditors-still-need-to-get-independence-right
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74
https://www.financialexecutives.org/Profession/2021/Q3-2021/PCAOB.aspx
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https://www.financialexecutives.org/Profession/2021/Q3-2021/PCAOB.aspx
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75
https://www.goingconcern.com/pcaobs-latest-report-finds-auditors-broker-dealers-suck-too/
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https://www.goingconcern.com/pcaobs-latest-report-finds-auditors-broker-dealers-suck-too/
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76
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77
https://www.techtarget.com/searchcio/definition/PCAOB-Public-Company-Accounting-Oversight-Board
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https://www.techtarget.com/searchcio/definition/PCAOB-Public-Company-Accounting-Oversight-Board
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78
https://www.goodwinlaw.com/publications/2013/08/20130820/20_01
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79
http://lexissecuritiesmosaic.com/gateway/PCAOB/NewsRelease/08182014_Interim_BD_Report.htm
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80
https://content.next.westlaw.com/practical-law/document/I210618e3ef0811e28578f7ccc38dcbee/Practice-Note-Accounting-Auditing-and-Financial-Reporting-in-the-US-Governing-Authorities?viewType=FullText&originationContext=document&transitionType=DocumentItem&ppcid=43d4226175224ffeb94cd5a2a1219126&contextData=(sc.Default)
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81
https://www.mossadams.com/articles/2021/11/broker-dealer-annual-update
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82
http://www.visionbrokerageservices.com/wp-content/uploads/2018/08/vbs_annual_audited_report.pdf
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83
https://onlinelibrary.wiley.com/doi/pdf/10.1111/1911-3846.12473
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84
https://sec.report/Document/9999999997-14-004014/scanned.pdf
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85
https://www.eisneramper.com/reporting-requirements-broker-dealers-0215/
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86
https://www.cpapracticeadvisor.com/2014/06/30/new-report-looks-at-changing-broker-dealer-audit-landscape/15853/
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87
https://www.lexology.com/library/detail.aspx?g=7ddabc02-ecfa-4540-9c75-ba1de9b50000
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https://www.forbes.com/sites/francinemckenna/2012/08/22/already-behind-the-eight-ball-auditors-of-broker-dealers-are-a-disaster/
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89
https://www.subjecttoinquiry.com/2015/02/pcaob-update-2015-budget-and-broker-dealer-audits/
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90
https://www.tx.cpa/docs/default-source/communications/2017-today's-cpa/july-august/pcaob-oversight-of-broker-dealer-auditors.pdf?sfvrsn=5bdee2b1_2
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91
https://books.google.com/books?id=vpr1YcWLpREC&pg=PA51972&lpg=PA51972&dq=pcaob+broker+dealer+report&source=bl&ots=OBeGBWKcsr&sig=ACfU3U3sZcOun1Umu3FESm3jMk9uf02tzw&hl=en&sa=X&ved=2ahUKEwiK7LPU4NT7AhXBlGoFHTjwDMkQ6AF6BQjaAhAD
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