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 can hear directly from FINRA, CFTC and PCAOB regulators on their latest initiatives and key priorities, and discover how these developments may impact your company’s practices and bottom line. Plus, get critical updates on the inspections of broker-dealer audits.

In addition, you’ll explore emerging trends and technologies impacting broker-dealers, including cryptocurrencies and cybersecurity. Through our comprehensive agenda, 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 the regulators, mitigating risks and more.


•  State of the Brokerage Industry

•  Regulatory Trends, Industry Initiatives & Challenges

•  Technical Accounting Update

•  PCAOB Update

•  Digital Future

•  Comments from the CFTC

•  Managing Cyber Risk


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.





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.


Mir M Alam, Associate Director, PCAOB

Matthew Block, Audit Senior Manager, Deloitte & Touche LLP

John Clemente, Risk and Regulatory Advisory Practice, PwC

Katherine Mahoney, Director, Financial and Operations Policy Group, FINRA

Jerry Nudge, Associate Director, Division of Swap Dealer and Intermediary Oversight, CFTC

Mary Kay Scucci, Managing Director, Chief Financial Officer, SIFMA

Anthony Vinci, Director, Accounting Policy, FINOP Policy, FINRA


Detailed Learning Objectives

Recognize the single largest component of GDP

Recognize the long term economic outlook in terms of GDP

Recognize the trend in global monetary policy

Identify the current role of the Federal Reserve in influencing the capital markets

Identify the current trajectory of financial technology as it affects consumers and businesses

Identify the relative ability of Fin Tech startups to attract venture funding

Identify the most likely challenges for investment banks over the coming five years

Identify the top driver for adopting new technologies as identified in a recent survey

Recognize the extent that investment banks anticipate the future role of artificial intelligence and digital ledger technology

Recognize the implications of Regulation Best Interest on Broker-Dealers

Recognize the current status of the DOL fiduciary rule

Recognize specific statistics and trends related to recent SEC enforcement actions

Identify recent specified areas of activity and interest by FINRA

Identify the aspects of a firm’s cybersecurity programs typically evaluated by FINRA

Identify the implications of recently issued accounting standards to preparers and auditors

Identify the scope of the new credit loss standard

Identify the objective of the recently issued revenue recognition standard

Identify the audit scope of the new CAM requirements

Identify the effective date of specified new PCAOB standards

Identify the implication of specified new PCAOB standards on auditors

Identify current research projects of the PCAOB

Recognize the objectives of the PCOAB’s inspections

Recognize specified statistics of recent PCAOB inspections

Recognize the leading deficiency found in recent PCAOB audit engagement inspections

Recognize review and examination engagement deficiencies found in recent PCAOB inspections

Recognize specific independence conflicts found by the PCAOB in recent attest engagement inspections

Identify specified statistics from a recent survey regarding the use of leading technology in the financial services industry

Identify the characteristics of certain leading technology

Identify the role of the CFTC in regulating the derivatives market

Identify global trends in cybersecurity activity

Identify the various impacts of a significant cybersecurity breach on an organization

Identify the role of risk alignment on cybersecurity preventative measures