PCAOB Broker Dealer Audit

Jennifer Wray CPA PLLC, a committed and competent CPA and PCAOB licensed accounting firm.  In the last five years, we have completed hundreds of broker-dealer audits and expanded our team of knowledgeable associates and partners who have years of experience in the field of auditing broker-dealer firms under PCAOB standards to ensure compliance with FINRA and SEC regulations.

It would be an honor for our team of dedicated CPA’s to work with your firm and provide you excellent and competent annual PCAOB audit and reporting services in compliance with FINRA.

Auditor of Broker-Dealers (Per PCAOB Website)


The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 gave the PCAOB oversight of auditors of broker-dealers registered with the U.S. Securities and Exchange Commission. The PCAOB has registration, inspection, standard-setting, and disciplinary authority over the auditors of broker-dealers.

When broker-dealers file their annual reports with the SEC, they are required to include their financial statements and supporting schedules, typically along with audit reports prepared by PCAOB-registered public accounting firms.

Broker-dealers also are generally required to file compliance or exemption reports, along with examination or review reports that are prepared by the same firms that prepared the audit reports. The audits, examinations and reviews are required to be performed in accordance with PCAOB standards.