SEC Deputy Chief Accountant Brian Croteau Gives Presentation on Broker-Dealer Rulemaking and Applicability of Auditor Independence Rules

In his presentation at the AICPA/SIFMA FMS National Conference on the Securities Industry 2013, SEC Deputy Chief Accountant Brian T. Croteau focused on (i) broker-dealer rulemaking (background/timeline, existing SEC annual reporting requirements and final amendments to SEC annual reporting requirements) and (ii) the applicability of auditor independence rules to broker-dealer audits.

See: SEC Slide Presentation (PDF).