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



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

•  SEC Standard of Conduct Rulemakings: Regulation Best Interest & Form CRS

•  Auditing Standards Update

•  Comments from the CFTC

•  SEC Enforcement


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.


Wes Althoff, Senior Associate and Assistant General Counsel, SIFMA

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

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

Nicole Nistorescu, Audit Senior Manager, BDO

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

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

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

Detailed Learning Objectives

• Identify which of the Regulation NMS rules establish minimum pricing increments

Recognize the date the SEC’s Rule 610(c) access fee cap was last reduced

Recognize the judicial statement being made in the DC Circuit Court’s decision regarding the SEC transaction fee pilot program

Recognize the role of the LIBOR rate prior to calls for its reform

Identify available pandemic-related business continuity plan guidance and regulatory relief

Identify available reminders relating to the potential for fraud during the pandemic

Identify available reminders relating to the potential for fraudulent phishing emails purporting to be from FINRA

Recognize available guidance regarding firms transitioning to a remote work environment due to COVID-19

Recognize the categories of FINRA FAQs related to regulatory relief due to the COVID pandemic

Recognize the content of specified Regulatory Notices

Identify current FINRA key topics

Identify the current objectives of the PCOAB’s audit firm’s inspections program

Recognize various PCAOB inspection results from the latest inspections of audits of brokers and dealers

Recognize the PCAOB’s upcoming inspection program’s focus

Identify the PCAOB’s identified financial statement audit risks

Identify the COVID-19 risk factors specified by the SEC enforcement staff

Identify the extent to which the SEC considers its messaging to marketplace stakeholders

Recognize the most recently reported SEC fiscal year penalties and disgorgements

Identify the sanction threshold for qualifying for a whistleblower reward from the SEC

Recognize the pervasiveness of SEC enforcement weapons

Recognize those individuals considered by the SEC to be individually accountable under their “gatekeeper” role

Identify recent changes to GAAP as it affects broker-dealer reporting

Identify the characteristics of recent changes to accounting for revenue, restricted cash, leases, and current expected credit losses

Identify the markets overseen and regulated by the CFTC

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

Recognize the characteristics and requirements of the SEC’s Form CRS