Broker-Dealer Accounting Virtual Conference

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Use Reference Code: WK22Z

(Note: Year-Long Passes do not apply to this course.)

Broker-Dealer Accounting Virtual Conference

CPE Credit: 8 Hours

Price: $499.00

NASBA Field of Study: Accounting



This is the one Virtual Conference where you'll hear directly from FINRA, CFTC and PCAOB regulators on their latest initiatives and key priorities. Discover how these decisions may influence your company’s practices and bottom line, get critical updates on regulatory, accounting and auditing issues, and keep up with recent developments, such as the use of cryptoassets, and the ongoing impact of COVID-19.

Through our comprehensive agenda and immersive online platform, you’ll gain expert guidance and real-world strategies from current and former regulators, Big 4 leaders and other industry specialists on implementing the latest accounting standards, dealing with regulators, mitigating risks, and more.


•  Technical Accounting Update

•  Regulatory Trends, Industry Initiatives & Challenges

•  PCAOB Update

•  Internal Controls

•  Comments from the CFTC

•  SEC Enforcement Issues

•  Managing Cyber Risks


LEARNING OBJECTIVE  To update financial professionals working for broker-dealers on the latest rules and regulations from the SEC,
PCAOB and FASB, and show them the best ways to handle these rules.

DELIVERY METHOD  Group Internet-Based.


This Conference is also avaliable as a Self-Study Program
Broker Dealer Accounting Conference Self-Study (11 Hours)



Welcome & Opening Remarks
8:45 – 9:00 AM

Technical Accounting Update
 – 10:00 AM
More than ever, Broker-Dealer firms must be aware of the latest changes to technical accounting. Many new standards became effective for year-end Public Business Entities. This session will catch you up on everything you need to know, as well as relevant active projects, including:
• New Standards for Public Business Entities
• Reference Rate Reform
• Equity Securities, Equity Method & Derivatives

• Simplifying Accounting for Income Taxes
Accounting Standards Updates (ASUs)
   – Franchisors
   – Intangibles
   – Leases
   – Financial Statement Presentations

   – Stock Compensation
   – Business Combinations
   – Highlights on the Technical Agenda

10:00 – 10:05 AM

Regulatory Trends, Industry Initiatives & Challenges
 – 11:20 AM
Broker-Dealer firms continue to be challenged by regulatory, accounting and auditing issues. This session will provide insights into the changes and evolution of the market, as well as FINRA priorities, and new regulatory guidance. Topics to be discussed include:
Recent Regulatory Guidance
   – Redesigned eFOCUS System and SEC Swap Reporting Requirements
   – SEC's filing extension for smaller Broker-Dealers
   – Custody of digital asset securities
   – ATS role in the settlement of digital asset security trades
   – Remaining impact of COVID relief programs
   – Exemption reporting
   – Non-covered firms (Footnote 74)

• Risk Monitoring & Examination Observations
• Questions in Regards to FINRA
• Key Topics

11:20 – 11:25 AM

PCAOB Update
11:25 AM – 12:25 PM

This session will focus on updates to the Inspection Program as they relate to Broker-Dealer firms, including significant changes in terms of international outreach and staffing. We'll look at:
• The Recent 4020T Report
• Recent Inspection Reports

• Current Inspections Status
• Illustrative Examples
  – Exemption Reports (AT No. 2)
  – Revenue procedures

12:25 – 1:10 PM

Internal Controls
1:10 – 2:10 PM

• Control Environment Considerations in Current Working Environment
   – Risk assessment impact
   – Effective allocation of resources
   – Remote access

   – Execution of controls and monitoring
• Internal Control Over Compliance (ICOC)/Risk Assessment & Relevant Control Considerations
   – Broker-Dealer reporting requirements
   – Examination procedures and requirements
   – Scope considerations
• Management Review Controls (MRCs)
• Information Used in a Control (IUC)

   – Elements of IUC
   – Management expectations

2:10 – 2:15 PM

Comments from the CFTC   
2:15 – 3:00 PM
Regulators from the CFTC will update you on the latest hot button issues and the most effective ways to handle them.

3:00 – 3:05 PM

SEC Enforcement Issues
3:05 – 4:05 PM

With the hiring of a new Chairman, the SEC has undergone significant changes, taking a more aggressive stance on enforcement issues. Using recent examples, this session will give you a solid understanding of how these changes are expected to impact Broker-Dealer firms, with a look at:
Transitioning to New Leadership

Working with Law Enforcement & SROs
Recent Cases of Interest & Their Impact
Areas of Focus
Crypto Assets

4:05 – 4:10 PM

Managing Cyber Risks
4:10 – 5:15 PM
Cyber threats are on the rise, and the importance of understanding and identifying them--as well as implementing effective security and management measures--will be the focus of this session. Specifically, we will cover:
• The Threat Environment

• Current Top Cyber Risk Management Trends
• Balancing Compliance & Security
• Challenges to Managing Risk
• Assessing Cyber Risk Management Program Maturity

Conference Ends
5:15 PM




Sarah Kenny, Director, National Professional Services Group, PwC, is an expert in valuation and fair value estimates, as well as a thought leader in standard-setting activities.

Tim Vintzel, Audit Partner, Banking and Securities Group, Deloitte & Touche LLP, is a Chartered Financial Analyst who specializes in audits of large, multinational clients, and technical securities industry matters.


Wes Althoff, Senior Associate and Assistant General Counsel, SIFMA

David Challen, Partner, PwC

Ann Cheeseman, Partner, Financial Accounting and Advisory Services (FAAS), Ernst & Young LLP

John Clemente, Director, Risk and Regulatory - Financial Services Advisory, PwC

Nicholas DiLorenzo, Associate, Financial Services Group, Dechert LLP

Thomas Favia, Managing Director, Regulatory Reporting, Goldman Sachs

Janet Fischenich, Senior Manager, Assurance Financial Services, Ernst & Young LLP

Susan Grafton, Partner, Dechert LLP

Rachel Grandovic, Senior Manager, Accounting and Reporting Advisory, Deloitte

John Iacobellis, Assurance Partner, BDO

Tyler Kane, Director, Office of Financial & Operational Risk Policy, FINRA

Bob Lehman, Partner, Lehman & Eilen LLP

Taylor McFarland, Professional Practice Director, Audit Quality, BDO

Kathryn Mahoney, Senior Director, Financial & Operational Risk Policy, FINRA

Adam Nava, Partner, Citrin Cooperman

Nicole Nistorescu, Audit Senior Manager, BDO

Gerald Nudge, Associate Director, Branch Chief – Eastern Region, CFTC

Laura S. Pruitt, Partner in Financial Markets, Jones Day

Gregory Schu, Partner, BDO USA, LLP

Justin Sutherland, Enforcement Accountant, SEC

Joe Thomas, Senior Manager, Financial Accounting Advisory Services, Ernst & Young LLP

Anthony Vinci, Director, Financial and Operational Risk Policy, FINRA

Mike Walters, Associate Director, PCAOB


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