Professional Ethics for New York CPAs

4 Credits: Regulatory Ethics


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Professional Ethics for New York CPAs

Course Level
CPE Credits

4 Credits: Regulatory Ethics

Course Description

This four-hour course is designed to meet the four-hour Ethics CPE requirement for New York CPAs. It provides an overview of ethical thought along with the core values of the CPA profession and the application of these values to ethical reasoning. Board of Regents Rules found in Title 8 of the New York Codes, Rules & Regulations, Chapter 1, Part 29.1 and 29.10 are covered in detail in the course. Certain administrative rules found in Title 8, Chapter 2, Part 70 and Title 8 of the New York Code, Article 149, Sections 7400-7410 are reviewed. The AICPA Code of Professional Conduct, as adopted by the New York State CPA Society is also covered in detail. Case studies are utilized throughout the course to emphasize material.

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Learning Objectives

Upon successful completion of this course, participants will be able to:

  • Define ethics from an overall and professional perspective, noting the core ethical foundations for CPAs.
  • Recognize the ethical standards contained in the New York Board of Regents rules, identifying specific requirements for work papers, competency for attest and compilation engagements, active registration, reportable events, commissions and referral fees, contingent fees, independence, advertising, confidential information, firm names, and expressing an opinion.
  • Cite ethical standards contained in the AICPA Code of Professional Conduct, identifying when independence could be impaired as well as discreditable acts.
  • Specify applicable threats to compliance, identifying appropriate safeguards to diminish or eliminate threats.
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Course Specifics

Course ID
Revision Date
October 23, 2023

There are no prerequisites.

Advanced Preparation


Compliance Information

NASBA Provider Number: 103220

CFP Notice: Not all courses that qualify for CFP® credit are registered by Western CPE. If a course does not have a CFP registration number in the compliance section, the continuing education will need to be individually reported with the CFP Board. For more information on the reporting process, required documentation, processing fee, etc., contact the CFP Board. CFP Professionals must take each course in it’s entirety, the CFP Board DOES NOT accept partial credits for courses.

Meet The Experts

Joseph Helstrom Headshot

Joseph Helstrom, CPA, is a partner at CFO Resources, LLC, a company focused on training and courseware for CPAs. He’s also the owner of Mill Creek Publishing LLC. Joe has over 30 years of experience as a CPA in both public accounting and industry, with extensive experience in financial reporting and analysis, treasury, tax, information technology, legal and regulatory matters, and strategic planning. After graduation from Butler University with a degree in accounting, Joe got his start at Ernst & Young. Subsequent to that, he has served for several different companies as a chief financial officer; director of treasury and …

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