Enforcement NewsletterAugust 2014The first SEC Enforcement Report was distributed by NASBA in September 2013, with regular quarterly reports beginning October 15, 2013.
The first column of the report indicates any jurisdictions referenced in the original source materials, and the third column of the report reflects any other jurisdictions where the CPA/firm might be licensed based on a search of ALD records. The April 2014 edition greatly expanded the sources of information to include not only the SEC and IRS, but now also includes PCAOB and AICPA publicly available disciplinary information from their websites. The first Enforcement Report included approximately 20 disciplinary listings from the SEC. The most recent distribution on July 15th included almost 300 listings from multiple sources and agencies. NASBA continues to search for new sources of enforcement information to ensure that the Quarterly Enforcement Report provides the boards with all available information. Please contact Stacey Grooms at [email protected] at any time with questions regarding the Enforcement Report. |
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The first report included information gathered from the SEC A&A (Accounting & Auditing) Enforcement information on the SEC website. By the fourth quarter of 2013, the report was expanded to include all publicly available SEC disciplinary actions (including A&A and Litigation Releases), and IRS disciplinary information taken from the IRS Bulletins. The report was also expanded to include jurisdictional identifiers.