Tag Archives: enforcement

SEC to Pursue Discipline of Individuals

State Board Report October 2013 The Securities and Exchange Commission will continue to “focus on financial statement and accounting fraud,” SEC Chair Mary Jo White told the Council of Institutional Investors on September 26. She stated: “In many ways, the most visible face of the SEC is what we do to enforce the law. After…

Written on October 15, 2013 at 8:39 pm, by

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Categories: State Board Reports
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Training Modules for Board Investigators

State Board Report April 2013 In Tucson, executive directors were given a peek at the training videos prepared by NASBA, in cooperation with the Enforcement Resources Committee, to prepare investigators for working with Accountancy Boards. Rather than host a day-long investigator training session, NASBA decided to produce a six-module training program that would be available…

Written on April 21, 2013 at 4:53 pm, by

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Categories: State Board Reports
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SEC Charts Enforcement Actions

State Board Report January 2012 The Securities and Exchange Commission summarized the enforcement actions it took from April 2009 through mid-December 2011 addressing misconduct that led to, or arose from, the financial crisis. These involved 87 individuals or entities charged, including 45 senior corporate officers. Twenty-five received officer and director bars, industry bars or SEC…

Written on January 31, 2012 at 2:00 pm, by

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TX Ethics Education Working

State Board Report September 2011 The rate of enforcement actions taken against CPAs by the Texas State Board of Public Accountancy (TSBPA) decreased significantly during the same period that ethics education has been mandatory in the state, a team of Baylor University researchers reported. Writing in the July/August 2011 issue of Today’s CPA, Kathy Hurtt…

Written on September 30, 2011 at 11:59 am, by

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Michael Daggett, Inaugural Speech as Incoming NASBA Board Chairman, 10/26/10

October 26, 2010 INAUGURAL SPEECH Earlier this year, I had the privilege to address my Arizona colleagues at the Society Annual Meeting. In introducing me to the audience, the Society’s President, Cindie Hubiak, was given the arduous task of not only telling the audience who I was, but to explain what this organization called the…

Written on October 26, 2010 at 8:00 am, by

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Categories: Presentations and Speeches
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2010 Regional Meeting – Breakout Board Expenditures

NASBA Regional Meeting 2010 This document was a  handout at NASBA’s 2010 Regional meeting to stimulate discussion. See Full Document:Breakout Board Expenditure

Written on June 11, 2010 at 9:29 pm, by

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Categories: Exposure Drafts & Discussion Papers
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UAA Model Rules Approved

State Board Report May 2010 The Uniform Accountancy Act Model Rules’ revisions, originally exposed in October 2008, were approved by the NASBA Board of Directors at their April 24 meeting in Isle of Palms, SC. UAA Committee Chair Laurie Tish (WA) reported the Committee had considered the comments made during the exposure period which ended…

Written on May 2, 2010 at 8:54 pm, by

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Oklahoma Makes use of ALD

Edith Steele, Executive Director, Oklahoma Accountancy Board Edith Steele finds the Accountancy Licensee Database (ALD) very useful when dealing with enforcement issues. She uses the ALD to verify whether someone who is holding themselves out as a CPA is licensed in any other states. This is valuable information to know when trying to discipline someone…

Written on March 1, 2009 at 12:36 pm, by

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ALD State Participation

Welcome Hello and welcome to the first edition of the ALD News. If you are looking for news regarding the ALD. . .then you have come to the right place. In this issue, and in future issues, you will find information ranging from the history and the current status of the ALD to how states…

Written on March 1, 2009 at 10:25 am, by

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Enforcement Gets Increased Attention

State Board Report November 2008 Effective enforcement was the topic of an Annual Meeting panel session that looked at communication with the PCAOB, among the boards and with NASBA. PCAOB Director‐ Division of Enforcement Claudius Modesti told the boards, “I am open minded in thinking about coordinating our efforts.” He explained, “If there are avenues…

Written on November 1, 2008 at 3:45 pm, by

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