PCAOB inspection report findings can be a useful resource for broker-dealers Per the most recent FINRA Industry Snapshot Report, there were 3,298 broker-dealers registered with the U.S. Securities and Exchange Commission (“SEC”) in 2023. Generally, these broker-dealers are required to file reports annually with the SEC and the Financial Industry Regulatory Authority (“FINRA”), and the auditors … Continue reading Broker-Dealer Audit Inspections: Key Insights from the PCAOB