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May 2015 » PCAOB and SEC Referrals to the...
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Dennis K Spillane, JD
In BriefThe PCAOB and SEC may have very visible oversight powers, but the authority of individual and firm CPA licensure ultimately resides at the state level. The process whereby these federal regulators notify the state licensing authority, and the steps in the disciplinary process that flow from it, are important for CPAs to be aware of. This primer on the state's process once it is notified by the PCAOB and SEC of a disciplinary action against a New York CPA comes from the perspective of the chief of the CPA unit in the New York State Education Department's Office of Professional Discipline.
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