Report Provides Insights for Broker-Dealer Financial Reporting Per the most recent FINRA Industry Snapshot Report, there were 3,394 broker-dealers registered with the U.S. Securities and Exchange Commission (“SEC”) in 2021. Generally, these broker-dealers are required to file annually, and the auditors of these broker-dealers are overseen by the Public Company Accounting Oversight Board (“PCAOB”). Beginning … Continue reading PCAOB Inspection Report of Broker-Dealer Audits