Lisa Roth (Small Firm Advocate)

07/27/2015

Comment period for FINRA NTM 15-20 closes today. Take a moment to check it out, including my comment letter. Your voice matters, so please consider a response. Even if you simply write in support of my letter (provided of course you agree), it will make a difference.

12/22/2014

FINRA SFAB is hard at work in support of a small firm initiative to talk sense to the PCAOB about the irrelevance of its audit program to small BDs. We have a plan and we need help!! Please COMPLETE and SUBMIT the FINRA survey. If you didn't get the link - just let me know. We need your feedback!

10/15/2014

It's time to reignite our efforts to exempt small firms from PCAOB audit requirements! Who's with me? Tell me your story: audit fee increases? auditor no longer offer BD services? I need your input, so replay AND spread the word!

12/11/2013

TODAY is the final day for comment on PCAOB Docket 034. Make your voice be heard on the topic of audit standards! Send your comments to [email protected] or re-post my letter!

09/29/2012

Let's get out the vote and make the voice of small firms heard in the upcoming NAC election. I'm putting my support behind Paige Pierce. Check her out on You Tube, and VOTE!!

09/19/2011

While PCAOB proceeds with its interim audit program (and considers our proposal to carve out certain small firms), let's move on to SIPC. SIPC has the ability to adjust assessments based on risk, provided the methodology is mechanically applicable, easily verifiable, and not legally 'prickly.' Help me with this initiative by providing the amount in dollars of your increase in SIPC assessment since the $150 evaporated.

06/07/2011

Don't miss the chance to hear from our mentor and friend Al Monahan at the upcoming NAIBD symposium. June 27, 2011, Sheraton Mission Valley. Al is the morning Keynote Speaker. This is a one of a kind opportunity, and you can be there - just visit NAIBD.COM to register.

12/10/2010

Scroll down to 2011 initiatives and read what this board member has to say. We have an opportunity to get this right! I am meeting with PCAOB Board Jan 18th 2011 - let me know your thoughts. Especially, share with me any significant price hikes in your annual financial audit.

I am pleased to have the opportunity again this year to address the AICPA’s Conference on SEC and PCAOB Developments on behalf of the Public Company Accounting Oversight Board. In fact, I am particularly pleased this year, because, last year, just a few hours before my presentation at this confere

11/24/2010

Happy Thanksgiving, by the way!

11/24/2010

Wondering how many BDs now registering as Municipal Advisers with MSRB are also having to update form BD to reflect the new registration? Also wondering how many are having to add a S 53 principal to their roster? Reason for the question: I'd like to share data with MSRB and FINRA to get us more time for testing, filing. Input please.

09/27/2010

I just learned from SIFMA’s lobbyist Governor Schw. has 646 bills on his desk. Must act by September 30. I know from news radio on my morning commute that he’s battling a bad cold. :) Let’s help him out by giving him one less bill to sign:
PLEASE TELL EVERY BD YOU KNOW TO CALL : 916-445-2841. Ask him to VETO AB 1743. Tell him it hurts small business. Call takes 2 seconds (OK maybe a minute)

08/17/2010

Comment period for Reg Notice 10-33 re Supplemental Focus closes tomorrow! Send me your concerns - let's get a comment letter in.

FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA