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Welcome to NASBA’s Federal Agency Enforcement Series. Below you will find three modules created to provide an overview of the enforcement process at the Department of Labor, Internal Revenue Service and the Securities & Exchange Commission.

Each module gives an introduction to the agency, an explanation of the enforcement process, a discussion regarding the process for sharing enforcement information between the agency and boards of accountancy, and useful forms and contact information to assist in the process. You can play the modules directly on this page or click the title of the module to open them in a new window/tab.

Department of Labor

    Related Links:

    1. DOL Contacts
    2. DOL Consent
    3. AICPA State Board Cooperative Enforcement Agreement
    4. Federal Agency Enforcement Series

    Internal Revenue Service

      Related Links:

      1. Federal Agency Enforcement Series
      2. IRS Contacts and Links

      Securities & Exchange Commission

        Related Links:

        1. Federal Agency Enforcement Series
        2. SEC Access Request Form
        3. SEC Contacts and Links

        Quick Links

        Accountancy Licensee Database
        Becoming an Investigator or Expert Witness
        Communicating with Federal Agencies
        Enforcement Newsletter
        Enforcement Resource Guide
        Enforcement Tools Home
        Investigator Training Series
        Quarterly Enforcement Reports
        Retaining an Investigator or Expert Witness