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Broken Dealer Audits: Accounting Deficiencies Uncovered by the PCAOB

The Public Company Accounting Oversight Board (PCAOB), the United States audit industry regulator, is supervised by the Securities and Exchange Commission. Last year, the PCAOB established an interim program to inspect the audits of broker-dealers. This program was long overdue and one of the steps taken to increase brokerage oversight after the Bernie Madoff scandal, where… Read More »