AICPA Peer Review Program Staff


    Credit Info
  • NASBA Field of Study

  • Format

    On demand

  • Level

  • CPE Credit


  • Course acronym

  • Prerequisites

  • Course duration

    1.5 Hours

AICPA Peer Review Must-Select Industry Update: Brokers and Dealers in Securities

Familiarize yourself with recent changes in peer review guidance related to engagements of brokers and dealers in securities, as well as other key items related to peer reviewing these engagements.

This CPE self-study course will help you identify non-conforming broker-dealer engagements when conducting peer reviews.

This course fulfills the new 'must-select' requirement for peer reviewers of broker-dealer engagements. The requirement is effective for reviews commencing on or after January 1, 2020.
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Topics discussed

Scope and administration of broker-dealer engagements
PCAOB inspections update
Common issues found through peer review and what causes engagement to be nonconforming
Current developments in peer review guidance

Learning objectives

Identify which engagements are included in the scope of peer review.
Apply concepts from accounting, auditing, and peer review guidance for broker-dealer engagements.
Identify common peer review matters and findings on broker-dealer engagements.

Who will it benefit?

Peer reviewers of broker-dealer engagements