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

•  PCAOB Update

•  Comments from the CFTC 

•  SEC Enforcement Issues

•  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.


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

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

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 accounting standards effective in 2021 for calendar year-end public business entities 

• Identify the characteristics of specified ASUs as they relate to LIBOR reform

• Identify the characteristics of specified ASUs written as part of the FASB’s codification improvements project

• Recognize the characteristics of other specified recent ASUs

• Recognize the relative role of the AICPA’s “Accounting for and Auditing of Digital Assets” 

• Identify the purpose behind specified recent FINRA regulatory notices

• Identify the COVID related regulatory relief granted by FINRA to its members

• Recognize various conclusions made by the PCAOB in their latest “Annual Report on the Interim Inspection Program Related to Audits of Brokers and Dealers”

• Recognize the objectives of the PCAOBs inspections 

• Identify specified results from the latest PCAOB inspection reports

• Recognize timely internal control environment considerations 

• Identify the definition of a material weakness in ICOC

• Identify the characteristics of management review controls

• Identify the role of management review controls

• Recognize suggestions for overcoming management review control challenges 

• Recognize potential problems with information used in a control

• Identify guiding principles for information used in a control

• Identify sources for information used in a control

• Recognize the role of the CFTC

• Identify principles and priorities of the current SEC administration 

• Recognize the SEC’s core concern with an audit firms’ financial ties with a potential audit client 

• Recognize available SEC Enforcement weapons

• Identify current SEC concerns with SPACs

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

• Identify today’s overall cyber threat environment

• Recognize smaller and mid-sized financial firms’ typical cyber vulnerabilities

• Recognize the current threat level of ransomware attacks

• Identify the relative frequency of cyber-attacks against small to medium sized businesses

• Identify the potential fallout of a cyber breach to a company

• Identify recent specified data regarding the identification and resolution of cyber-attacks