A Publication Dedicated to Enforcement and Compliance
A Publication Dedicated to Enforcement and Compliance
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October 2017
New, Improved Quarterly Report
In July and September, NASBA released to Executive Directors the Quarterly Enforcement Report for the second and third quarters of 2017, respectively. The report compiles information from federal agencies regarding disciplinary and enforcement matters involving CPAs or CPA firms that might be of interest to boards.  -read more-
Update to the Enforcement Resource Guide
We recently added sample preissuance review process documentation to Module 9 of the Enforcement Resource Guide.  -read more-

PTIN Lists Now Available Online
Did you know that the IRS has a useful link on their website you can use to search for PTINs? In the past, NASBA has obtained the current Preparer Tax Identification Number (PTIN) listing from the Internal Revenue Service (IRS) through a Freedom of Information Act (FOIA) request each year. In turn, we provided each board with the listing data for its individual state, to support its enforcement efforts.  -read more-
Meet ERC Chair E. Kent Smoll
E. Kent Smoll is the current Chair of the Enforcement Resources Committee and a Director at Large for NASBA. Smoll has been part of  the association for over 20 years, serving in various capacities, including as member of the Kansas Board of Accountancy and as a member of NASBA’s Alternative Practice Structure Committee, President’s Search Committee, Nominating Committee, Legislative Support Committee, Administration and Finance Committee (where he was the Chairman for five years) and a Regional Director for Central Region.  -read more-

ALD Updates
The Accountancy Licensee Database (ALD) and CPAverify are currently housing data from 51 Boards of Accountancy.  One re-implementation is currently in the final stages of testing (MA). We continue to work with the four boards not yet participating to get them on board and continue to work with boards to add disciplinary data and firm data to their ALD feeds. Some critical new enforcement features and tools for the ALD are also being rolled out.  -read more-
Directory of Enforcement Resources
Permanent Links in Enforcement Email
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