PCAOB posted an annotated example of an auditor’s report for the audit of a broker or dealer

December 17, 2018

The following is an example of an unqualified auditor’s report under AS 3101* on the financial statements of a broker or dealer reporting under Rule 17a-5 of the Securities Exchange Act of 1934. The example includes an unqualified auditor’s report on the supplemental information and assumes no explanatory or emphasis paragraphs. New language in the report is underlined.

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https://pcaobus.org/Standards/Documents/Annotated-Example-Auditor-Report-Broker-Dealer.pdf?utm_source=PCAOB+Email+Subscriptions&utm_campaign=1e15639e77-EMAIL_CAMPAIGN_2018_research-standard-setting_COPY&utm_medium=email&utm_term=0_c97e2ba223-1e15639e77-125377165

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