Broker-Dealer Accounting Conference Self-Study Webinar (11 Hours)

Broker-Dealer Accounting Conference Self-Study Webinar (11 Hours)

CPE Credit: 11 Hours

Price: $499.00

NASBA Field of Study: Accounting



This is the one self-study webinar 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.


•  State of the Brokerage Industry

•  The Impact of COVID-19

•  Regulatory Trends, Industry Initiatives & Challenges

•  Technical Accounting Update

•  PCAOB Update

•  Accounting for & Auditing of Digital Assets

•  Comments from the CFTC

•  SEC Enforcement Issues

•  Cybersecurity & Ransomware


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.




Benjamin Castelli, FSO Assurance Senior Manager, EY

Michael Gonzales, Partner, Ernst & Young LLP

Bobbi Gwinn, Professional Practice Director, BDO

John Iacobellis, Assurance Partner, BDO

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

Bob Lehman, Partner, Lehman & Eilen LLP

Taylor McFarland, Former Inspections Specialist, PCAOB, Professional Practice Director, Audit Quality, BDO

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

Adam Nava, Partner, Citrin Cooperman

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

Gregory Schu, Partner, BDO USA, LLP

Justin Sutherland, Enforcement Accountant, SEC

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

Mike Walters, Associate Director, PCAOB

Keith Zielenski, Managing Director, Protiviti

Detailed Learning Objectives

• Identify the recent topics on the FASB’s technical agenda

• Identify the primary characteristics of recently published ASUs

• Recognize the market participants that would be directly impacted by the SEC proposal to expand the definition of “dealer” and “government securities dealer”

• Identify business activities available to a non-covered firm

• Recognize the topics discussed within the PCAOB’s 2022 Forum for Auditors of Small Businesses and Broker-Dealers

• Recognize topics discussed in specified recently issued Regulatory Notices and Information Notices

• Recognize highlights of the 2022 Report on FINRA’s Examination and Risk Monitoring Program

• Identify highlights of the PCAOB Annual Report covering the FY 2021 inspection programs related to the auditors of brokers and dealers

• Identify current accounting and auditing issues associated with cyber currencies

• Recognize the recent topics addressed by the CFTC

• Identify recent SEC enforcement focus areas

• Recognize the monetary threshold for which broker-dealers must timely file SARs with FinCEN

• Recognize the characteristics of the SEC’s Regulation Best Interest requirements

• Recognize the current SEC administration’s relative interest in the crypto assets market

• Recognize the extent to which the federal securities laws are applicable to digital asset transactions

• Identify the upcoming projected trend in cybersecurity worker shortages in the US

• Identify the current role of the BOD in cybersecurity matters

• Recognize the current threat level of ransomware to global businesses