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Reminder: SEC Requires PCAOB Registration

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The Public Company Accounting Oversight Board (PCAOB) was established by the Sarbanes-Oxley Act to oversee the audit of public companies in response to the issues raised by situations such as Enron, WorldCom and others that began gaining publicity in the late 1990s.

In the past, auditors providing financial statements to non-public broker-dealers did not have to be registered but as of January, 2009, the Securities and Exchange Commission (SEC) ordered that financial statements of non-public broker-dealers for fiscal years ending after December 31, 2008 must be certified by a registered public accounting firm.

The key word here is “registered.” 

It is interesting to note that many certified public accounting firms have not registered with the (PCAOB).  If the certified public accounting firm you are currently working with is not registered, as a firm that is registered with the PCAOB, we would appreciate having the opportunity to talk to you and determine how we can help you. 

Please contact Mary Ellen Mundy at Maryellen.mundy@SobelCoLLC.com or by phone at 973-994-9494 if you have any questions.

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