Communicating with Federal Agencies

Enforcement Newsletter

August 2014

Whether you need to refer a matter to a federal agency or have received a referral from an agency, the process begins with the simple question of “Who do I contact for more information?” The Enforcement Resources Committee has worked diligently this past year to develop relationships with the SEC, IRS, DOL, and AICPA to assist our boards in this area.

Information and guidance on dealing with each agency, including PDF fillable forms to request information and contact lists with agency personnel contact information, will soon be added to the Enforcement Tools section of this website. In addition, new tutorial videos are in production that will provide step by step guidance, as well.

In the meantime, please do not hesitate to contact NASBA to assist in any communications with other agencies as the development of relationships with new agencies can be a learning process for NASBA and the information gathered can be maintained and shared with other boards in the future. Contact Stacey Grooms at [email protected] for assistance at any time.