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 a self-study webinar of 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 threats posed by cyberattacks and ransomware.

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

•  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 FINRA,
CFTC and PCAOB, and show them the best ways to handle these rules.





Benjamin Castelli, FSO Assurance Senior Manager, EY

Bobbi Gwinn, Professional Practice Director, BDO

John Iacobellis, Assurance Partner, BDO

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

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

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

Anne McKinley, Assistant Regional Director, Division of Enforcement, SEC

Donald Melody, Director, Johnson Global Accountancy

Adam Nava, Partner, Citrin Cooperman

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

Laura Pruitt, Partner, Jones Day

Tanieke Samuel, Director, Johnson Global Accountancy, Former Inspector, Division of Registration and Inspections, PCAOB

Gregory Schu, Partner, BDO USA, LLP

Kyle Sewell, Professional Practice Partner, BDO

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

Mike Walters, Regional 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 change from settlement period of T+2 to T+1

• Identify the definition of a security

• Recognize the topics discussed within the PCAOB’s 2023 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 2023 Report on FINRA’s Examination and Risk Monitoring Program

• Identify highlights of the PCAOB Annual Report covering the FY 2022 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

• Recognize the current threat level of ransomware to global businesses

• Recognize the different types of ransomware

• Identify popular strains of ransomware