![]() ![]() You can find SEC orders and other releases concerning the PCAOB here.įor more information about the PCAOB, please visit the PCAOB's website. When Congress created the PCAOB, it gave the SEC the authority to oversee the PCAOB's operations, to appoint or remove members, to approve the PCAOB's budget and rules, and to entertain appeals of PCAOB inspection reports and disciplinary actions. ![]() enforcing compliance with the Sarbanes-Oxley Act.conducting inspections, investigations, and disciplinary proceedings of registered accounting firms and.establishing audit, quality control, ethics, independence, and other standards relating to audits of public company audits.The Public Company Accounting Oversight Board (also known as the PCAOB) is a private-sector, nonprofit corporation created by the Sarbanes-Oxley Act of 2002 to oversee accounting professionals who provide independent audit reports for publicly traded companies. The Laws That Govern the Securities Industry.Researching the Federal Securities Laws Through the SEC Website.Structured Notes with Principal Protection.Smart Beta, Quant Funds and other Non- Traditional Index Funds.Mutual Funds and Exchange-Traded Funds (ETFs).Publicly Traded Business Development Companies (BDCs).Stock Purchases and Sales: Long and Short.Pay Off Credit Cards or Other High Interest Debt. ![]() Public Service Campaign (new) – “Investomania”.Required Minimum Distribution Calculator.Investment Professional Background Check.Working with an Investment Professional.Five Questions to Ask Before You Invest. ![]()
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