The PCAOB found deficiencies in two-thirds of the broker-dealer audits it reviewed.
SEA 1934 Rule 17a-5
Disciplinary decisions issued January 1 – 16, 2026.
Disciplinary decisions issued October 18 – 24, 2025.
Disciplinary decisions issued October 11 – 17, 2025.
The auditor’s objective is to state whether one or more conditions exist that would cause one or more of the broker-dealer’s assertions not to be fairly stated.
Disciplinary decisions issued August 30 – September 12, 2025.
Disciplinary decisions issued July 12 – 18, 2025.
Disciplinary decisions issued July 5 – 11, 2025.