Trusted Compliance

for Public Companies and Broker-Dealers

Audit & AssurancePCAOB Audit Services

At Wei, Wei & Co., LLP, we deliver rigorous, independent audit services for entities subject to oversight by the Public Company Accounting Oversight Board (PCAOB). Whether you are a publicly traded company or a registered broker-dealer, our team has the technical knowledge, regulatory insight, and practical experience to help you comply with SEC and PCAOB standards.


Our PCAOB Audit Services

We offer comprehensive audit and assurance services that meet PCAOB requirements and withstand regulatory scrutiny.

For Public Companies:

  • Annual Financial Statement Audits (Form 10-K)
  • Quarterly Reviews (Form 10-Q)
  • Internal Control Over Financial Reporting (SOX 404 Audits)
  • Audit Readiness for IPOs or SPACs
  • SEC Reporting Compliance Advisory

For Broker-Dealers:

  • Annual Broker-Dealer Audits under Rule 17a-5
  • Exemption Reports and Compliance Reporting
  • Net Capital and Customer Protection Rule Testing
  • FINRA and SEC Reporting Assistance

Our PCAOB Audit Process:

We take a hands-on, risk-based approach to every PCAOB audit engagement:

  1. Planning and Risk Assessment
    We identify key areas of risk, understand your control environment, and develop a detailed audit plan.
  2. Fieldwork and Testing
    Our team performs procedures over financial statements, disclosures, and, if applicable, internal controls.
  3. Reporting and Documentation
    We prepare a PCAOB-compliant audit report and assist with SEC filings, including Form 10-K, 10-Q, and Form X-17A-5 (FOCUS Report).
  4. Ongoing Support
    We remain available year-round for audit committee meetings, filing questions, or PCAOB inspection preparation.

Why Us?


Registered with the PCAOB

We are a PCAOB-registered firm authorized to audit public companies and broker-dealers.

SEC and FINRA Expertise

Our team has deep experience with the reporting and compliance needs of SEC registrants and FINRA members.

Audit Quality and Independence

We deliver audits that are objective, well-documented, and prepared to stand up to PCAOB inspections.

Scalable for Growth

Whether you’re a pre-IPO company or an established issuer, we scale our services to support your stage of growth and reporting complexity.

Timely, Responsive Communication

We believe in frequent updates, clear expectations, and collaborative engagement throughout the audit process.

Frequently Asked Questions

Schedule a Consultation

If you're a public company, broker-dealer, or planning to become one, our PCAOB audit services will help you meet your compliance obligations with confidence and clarity. Contact us to learn more or schedule an initial consultation.

How We Serve

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Member of AICPA, NYSSCPA, CASCPA