A Publication Dedicated to Enforcement and Compliance
A Publication Dedicated to Enforcement and Compliance
Summer 2022
ALD Focusing on Awareness, Feed Enhancements and Reimplementations
Since 2005, NASBA’s Accountancy Licensee Database (ALD) has served the Boards of Accountancy by providing an invaluable enforcement resource.  -read more-
CPT Ethical Leadership Training
Is NASBA’s CPT Ethical Leadership Training Program Right for My State?
Is your State Board of Accountancy looking for a new way to bring ethics training to your licensees?  -read more-
Rules and Statute Updates
Rules and Statute Updates from 2021-2022
Popular Legislative Themes Regarding Enforcement Topics: Child Support Non-Payment and Student Load Default.  -read more-
ESG Reporting
The Role of Accountants in the Rise of ESG Reporting
Environmental, Social and Governance criteria, commonly referred to as “ESG,” are a series of standards used by socially and environmentally conscious investors to evaluate and screen potential investments.  -read more-
The Enforcement Resources Committee in Nashville, TN

The Enforcement Resources Committee met at NASBA HQ in May. Pictured on one of Nashville’s many beautiful rooftops from Left to Right is: John Helms, Patty Faenger, Kristi Justice, Jim Mintert, Eileen Poiani, and Pat Thorne. Not pictured, but also attending was Lou Costanzo and our Zoom attendees Lynn Hutchinson (Chair) and Ellen Adkins. 
Fifth Circuit Court Ruling
Fifth Circuit Rules the SEC's Use of In-House Administrative Judges Violates Seventh Amendment 
A recent decision by the Fifth Circuit Court of Appeals, which covers Louisiana, Mississippi, and Texas, has determined that the Securities and Exchange Commission’s (SEC) in-house process for handling cases is a violation of the Seventh Amendment to the United States Constitution.  -read more-
Ad for Investigator and expert witness
For questions, please contact Elizabeth Wolfe at ewolfe@nasba.org.
Apply as investigator Apply as expert witness
Testimonial for NASBA's Investigator/Expert Witness Pool
The Enforcement Resources Committee (ERC) has planned a multi session Enforcement Training Webinar series for Board of Accountancy Executive Directors. This Enforcement Training will teach new Executive Directors all about regulatory disciplinary procedures and enforcement options while also serving as a good overview for our more seasoned Executive Directors.

Our draft agenda includes the following speakers and topics: 
September 29
Conflicts of Interest or Disciplinary Process
Frank Trainor, Esq., North Carolina Board of Accountancy Counsel

Open Records Act & Open Meetings Act
Maria Bush, Esq., TN Comptroller of the Treasury

Overview of Enforcement and NASBA's Enforcement Resources Tools & Website
Elizabeth Wolfe, Esq.
Add to Calendar
October 5
Investigations Part 1
Peter Delvecchia, CPA, Current Investigator with various state boards & former Associate Director of AICPA investigations

Investigator Panel
Featuring State Board Investigators such as Pat Thorne, Nevada Board of Accountancy NASBA Resources

Executive Director Panel
Featuring Boyd Busby, Alabama State Board of Accountancy
Add to Calendar
October 12
Investigations Part 2
Peter Delvecchia, CPA, Current Investigator with various state boards & former Associate Director of AICPA investigations

TBD - Administrative Hearing Process
Jennifer Kandt, ED of the Nevada Funeral and Cemetary Board

CPE Ethics Course used as Disciplinary Option
Deborah lederman, NASBA's CPT Manager
Add to Calendar
November 29
TBD - Adminstration Hearings Process
Sara Page, Esq., TN Department of Environment and Conservation

TBD - Administrative Hearings Process
Zoe Niesel, Professor of Law at St. Mary's
Steve R. Darnell, Administrative Law Judge
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We hope you will join us for several of these sessions to learn more about enforcement efforts for your board!
Board & Legal Counsel Resource
For questions about this resource, please contact Elizabeth Wolfe at ewolfe@nasba.org.
Directory of Enforcement Resources
Permanent Links in Enforcement Email

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