NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC: Form 990, tax year 2022
View the entire original 990 at ProPublica ↗
- Organization
- NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC (EIN 47-0730228)
- Tax period
- 2022-01-01 to 2022-12-31
- Filed
- 2023-10-30
- IRS object ID
- 202303039349302230
- Schema version
- 2022v5.0
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2023-10-30T16:18:16-05:00 | ReturnTs |
| Tax Period End | 2022-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 521392008 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | GELMAN ROSENBERG & FREEDMAN | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 4550 MONTGOMERY AVE SUITE 800N | AddressLine1Txt |
| City | BETHESDA | CityNm |
| State Abbreviation | MD | StateAbbreviationCd |
| ZIP | 208142930 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990 | ReturnTypeCd |
| Tax Period Begin | 2022-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 470730228 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | NORTH AMERICAN SECURITIES ADMINISTRATORS | BusinessNameLine1Txt |
| Business Name Line2 | ASSOCIATION INC | BusinessNameLine2Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | NORT | BusinessNameControlTxt |
| Phone | 2027370900 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 750 FIRST STREET NW 990 | AddressLine1Txt |
| City | WASHINGTON | CityNm |
| State Abbreviation | DC | StateAbbreviationCd |
| ZIP | 20002 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | JOSEPH BRADY | PersonNm |
| Person Title | EXECUTIVE DIRECTOR | PersonTitleTxt |
| Phone | 2027370900 | PhoneNum |
| Signature | 2023-10-30 | SignatureDt |
| Discuss With Paid Preparer | Yes (1) | DiscussWithPaidPreparerInd |
Signing Officer SigningOfficerGrp
Person Full Name PersonFullName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person First | JOSEPH | PersonFirstNm |
| Person Last | BRADY | PersonLastNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| SSN | 999009999 | SSN |
| Field | Value | IRS element (for citing) |
|---|---|---|
| IRS Responsible Prty Info Curr | 0 | IRSResponsiblePrtyInfoCurrInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | RICHARD J LOCASTRO CPA | PreparerPersonNm |
| PTIN | P00288314 | PTIN |
| Phone | 3019519090 | PhoneNum |
Additional Filer Information AdditionalFilerInformation
Trusted Customer TrustedCustomerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | 2 | TrustedCustomerCd |
| Authentication Assurance Level | AAL1 | AuthenticationAssuranceLevelCd |
| Identity Assurance Level | IAL1 | IdentityAssuranceLevelCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2022 | TaxYr |
| Build TS | 2023-04-26 12:10:37Z | BuildTS |
Form 990 IRS990
| Field | Value | IRS element (for citing) |
|---|---|---|
| Principal Officer | JOSEPH BRADY | PrincipalOfficerNm |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 750 FIRST STREET NW 990 | AddressLine1Txt |
| City | WASHINGTON | CityNm |
| State Abbreviation | DC | StateAbbreviationCd |
| ZIP | 20002 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | $16,045,282 | GrossReceiptsAmt |
| Group Return For Affiliates | 0 | GroupReturnForAffiliatesInd |
| Organization501c3 | Yes (X) | Organization501c3Ind |
| Website Address | WWW.NASAA.ORG | WebsiteAddressTxt |
| Type Of Organization Corp | Yes (X) | TypeOfOrganizationCorpInd |
| Formation | 1919 | FormationYr |
| Legal Domicile State | DC | LegalDomicileStateCd |
| Activity Or Mission | SEE PART III, LINE 1. | ActivityOrMissionDesc |
| Voting Members Governing Body | 9 | VotingMembersGoverningBodyCnt |
| Voting Members Independent | 9 | VotingMembersIndependentCnt |
| Total Employee | 27 | TotalEmployeeCnt |
| Total Volunteers | 12 | TotalVolunteersCnt |
| Total Gross UBI | $0 | TotalGrossUBIAmt |
| Net Unrelated Bus Txbl Incm | $0 | NetUnrelatedBusTxblIncmAmt |
| PY Contributions Grants | $0 | PYContributionsGrantsAmt |
| CY Contributions Grants | $0 | CYContributionsGrantsAmt |
| PY Program Service Revenue | $11,696,348 | PYProgramServiceRevenueAmt |
| CY Program Service Revenue | $13,726,590 | CYProgramServiceRevenueAmt |
| PY Investment Income | $585,632 | PYInvestmentIncomeAmt |
| CY Investment Income | $407,659 | CYInvestmentIncomeAmt |
| PY Other Revenue | $55,212 | PYOtherRevenueAmt |
| CY Other Revenue | $50,155 | CYOtherRevenueAmt |
| PY Total Revenue | $12,337,192 | PYTotalRevenueAmt |
| CY Total Revenue | $14,184,404 | CYTotalRevenueAmt |
| PY Grants And Similar Paid | $0 | PYGrantsAndSimilarPaidAmt |
| CY Grants And Similar Paid | $0 | CYGrantsAndSimilarPaidAmt |
| PY Benefits Paid To Members | $0 | PYBenefitsPaidToMembersAmt |
| CY Benefits Paid To Members | $0 | CYBenefitsPaidToMembersAmt |
| PY Salaries Comp Emp Bnft Paid | $3,531,362 | PYSalariesCompEmpBnftPaidAmt |
| CY Salaries Comp Emp Bnft Paid | $3,802,501 | CYSalariesCompEmpBnftPaidAmt |
| PY Total Prof Fndrsng Expns | $0 | PYTotalProfFndrsngExpnsAmt |
| CY Total Prof Fndrsng Expns | $0 | CYTotalProfFndrsngExpnsAmt |
| CY Total Fundraising Expense | $0 | CYTotalFundraisingExpenseAmt |
| PY Other Expenses | $2,899,315 | PYOtherExpensesAmt |
| CY Other Expenses | $4,991,030 | CYOtherExpensesAmt |
| PY Total Expenses | $6,430,677 | PYTotalExpensesAmt |
| CY Total Expenses | $8,793,531 | CYTotalExpensesAmt |
| PY Revenues Less Expenses | $5,906,515 | PYRevenuesLessExpensesAmt |
| CY Revenues Less Expenses | $5,390,873 | CYRevenuesLessExpensesAmt |
| Total Assets BOY | $25,487,836 | TotalAssetsBOYAmt |
| Total Assets EOY | $29,913,852 | TotalAssetsEOYAmt |
| Total Liabilities BOY | $790,274 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $3,395,643 | TotalLiabilitiesEOYAmt |
| Net Assets Or Fund Balances BOY | $24,697,562 | NetAssetsOrFundBalancesBOYAmt |
| Net Assets Or Fund Balances EOY | $26,518,209 | NetAssetsOrFundBalancesEOYAmt |
| Info In Schedule O Part III | Yes (X) | InfoInScheduleOPartIIIInd |
| Mission | NASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, COMMUNICATION, AND COORDINATION. | MissionDesc |
| Significant New Program Srvc | 0 | SignificantNewProgramSrvcInd |
| Significant Change | 0 | SignificantChangeInd |
| Expense | $1,666,944 | ExpenseAmt |
| Revenue | $8,560,660 | RevenueAmt |
| Desc | OTHER ACTIVITIES ARE ORGANIZED THROUGHOUT THE YEAR TO PROVIDE EDUCATION AND COLLABORATIVE OPPORTUNITIES TO MEMBERS WHO DEAL WITH SECURITIES REGULATION AND ENFORCEMENT MATTERS. AMONG THESE ACTIVITIES, NASAA ROUTINELY PROVIDES NEW CONTENT FOR SERIES 63, SERIES 65 AND SERIES 66 EXAMINATIONS, WHICH ARE OWNED BY NASAA AND ARE UTILIZED IN THE FINANCIAL SERVICES INDUSTRY. | Desc |
Prog Srvc Accom Acty2 ProgSrvcAccomActy2Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $1,305,431 | ExpenseAmt |
| Revenue | $183,825 | RevenueAmt |
| Desc | NASAA'S MULTI-PRONGED MISSION INCLUDES SERVING MEMBERS THROUGH EDUCATION. IN FULFILLING THIS ASPECT OF THE ORGANIZATION'S MISSION, NASAA MAINTAINS A TRAINING AND EDUCATION PROGRAM COMPRISED OF A SERIES OF IN-PERSON TRAINING EVENTS AND WEBINARS THAT TAKE PLACE THROUGHOUT THE YEAR. THE EVENTS ARE LARGELY FUNDED BY THE ORGANIZATION AND AVAILABLE PRIMARILY TO NASAA MEMBERS AND THEIR STAFF. TRAINING EVENTS FOCUSED ON THE FOLLOWING AREAS ARE HELD ANNUALLY: ENFORCEMENT, INVESTMENT ADVISER REGULATION, INVESTOR EDUCATION, BROKER-DEALER REGULATION, CORPORATION FINANCE AND FRANCHISE REGULATION. LITIGATION AND DEPOSITION SKILLS TRAINING SEMINARS ARE HELD IN ALTERNATING YEARS. NASAA RECORDS THESE TRAINING EVENTS AND MAKES THEM AVAILABLE TO MEMBERS ON THE DISTANCE LEARNING SECTION OF THE NASAA WEBSITE. | Desc |
Prog Srvc Accom Acty3 ProgSrvcAccomActy3Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $958,325 | ExpenseAmt |
| Revenue | $4,304,454 | RevenueAmt |
| Desc | NASAA, UNDER THE LEADERSHIP OF ITS STATE SECURITIES REGULATOR MEMBERS, OPERATES THE ELECTRONIC FILING DEPOSITORY ("EFD"). THE EFD SYSTEM BENEFITS FROM THE OVERSIGHT OF THE NASAA BOARD OF DIRECTORS AND SUBJECT MATTER EXPERTISE FROM THE EFD STEERING COMMITTEE. EFD IS AN INTERNET ACCESSIBLE DATABASE SYSTEM THAT ALLOWS ISSUERS TO SUBMIT REGULATORY FILINGS AND PAY RELATED FEES TO STATE SECURITIES REGULATORS. PRIOR TO 2021, THE FILINGS THAT COULD BE SUBMITTED THROUGH THE EFD MANAGED FUNCTIONALITY INCLUDED FORM D FOR REGULATION D, RULE 506 FILINGS, FORM NF-UIT FILINGS, AND VARIOUS OTHER CORPORATE FINANCE FILINGS. NASAA EXPANDED THE MANAGED FUNCTIONALITY TO INCLUDE FRANCHISE REGISTRATION FILINGS IN MAY 2021. EFD ALSO PROVIDES A PUBLIC FACING WEBSITE TO SEARCH AND VIEW, FREE OF CHARGE, FILINGS MADE THROUGH THE SYSTEM TO STATE SECURITIES REGULATORS. THE EFD SYSTEM ALLOWS FILERS AND STATE REGULATORY AGENCIES TO TRANSITION FROM PAPER-BASED FILING SYSTEMS TO AN ELECTRONIC SYSTEM. BY FOSTERING UNIFORMITY IN STATE REGULATORY FILINGS, AND SIMPLIFYING COMMUNICATIONS BETWEEN FILER AND REGULATOR, EFD SERVES ITS MEMBER REGULATORS WITH A MORE EFFICIENT AND EFFECTIVE MEANS TO RECEIVE AND MONITOR SECURITIES FILINGS. | Desc |
Prog Srvc Accom Acty Other ProgSrvcAccomActyOtherGrp (4 entries)
| ExpenseExpenseAmt | RevenueRevenueAmt | DescDesc |
|---|---|---|
| $830,914 | $130,515 | AN ANNUAL FALL CONFERENCE IS HELD EACH YEAR IN A DIFFERENT CITY IN CONJUNCTION WITH A FULL MEMBERSHIP MEETING. BOTH SERVE TO UPDATE PARTICIPANTS AND MEMBERS ON CURRENT EVENTS PERTAINING TO SECURITIES ADMINISTRATION. |
| $380,301 | $26,225 | SPRING CONFERENCE IN WASHINGTON DC |
| $322,264 | NASAA EXAMS MODULE (NEMO) SYSTEM | |
| $228,905 | $520,911 | IAR CE |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Other Prog Srvc Expense | $1,762,384 | TotalOtherProgSrvcExpenseAmt |
| Total Other Prog Srvc Revenue | $677,651 | TotalOtherProgSrvcRevenueAmt |
| Total Program Service Expenses | $5,693,084 | TotalProgramServiceExpensesAmt |
| Described In Section501c3 | Yes (1) | DescribedInSection501c3Ind |
| Schedule B Required | 0 | ScheduleBRequiredInd |
| Political Campaign Acty | 0 | PoliticalCampaignActyInd |
| Lobbying Activities | Yes (1) | LobbyingActivitiesInd |
| Subject To Proxy Tax | 0 | SubjectToProxyTaxInd |
| Donor Advised Fund | 0 | DonorAdvisedFundInd |
| Conservation Easements | 0 | ConservationEasementsInd |
| Collections Of Art | 0 | CollectionsOfArtInd |
| Credit Counseling | 0 | CreditCounselingInd |
| Donor Rstr Or Quasi Endowments | 0 | DonorRstrOrQuasiEndowmentsInd |
| Report Land Building Equipment | Yes (1) | ReportLandBuildingEquipmentInd |
| Report Investments Other Sec | 0 | ReportInvestmentsOtherSecInd |
| Report Program Related Invst | 0 | ReportProgramRelatedInvstInd |
| Report Other Assets | Yes (1) | ReportOtherAssetsInd |
| Report Other Liabilities | Yes (1) | ReportOtherLiabilitiesInd |
| Include FIN48 Footnote | Yes (1) | IncludeFIN48FootnoteInd |
| Independent Audit Fincl Stmt | Yes (1) | IndependentAuditFinclStmtInd |
| Consolidated Audit Fincl Stmt | 0 | ConsolidatedAuditFinclStmtInd |
| School Operating | 0 | SchoolOperatingInd |
| Foreign Office | 0 | ForeignOfficeInd |
| Foreign Activities | 0 | ForeignActivitiesInd |
| More Than5000 K To Org | 0 | MoreThan5000KToOrgInd |
| More Than5000 K To Individuals | 0 | MoreThan5000KToIndividualsInd |
| Professional Fundraising | 0 | ProfessionalFundraisingInd |
| Fundraising Activities | 0 | FundraisingActivitiesInd |
| Gaming Activities | 0 | GamingActivitiesInd |
| Operate Hospital | 0 | OperateHospitalInd |
| Grants To Organizations | 0 | GrantsToOrganizationsInd |
| Grants To Individuals | 0 | GrantsToIndividualsInd |
| Schedule J Required | Yes (1) | ScheduleJRequiredInd |
| Tax Exempt Bonds | 0 | TaxExemptBondsInd |
| Engaged In Excess Benefit Trans | 0 | EngagedInExcessBenefitTransInd |
| PY Excess Benefit Trans | 0 | PYExcessBenefitTransInd |
| Loan Outstanding | 0 | LoanOutstandingInd |
| Grant To Related Person | 0 | GrantToRelatedPersonInd |
| Business Rln With Org Mem | 0 | BusinessRlnWithOrgMemInd |
| Business Rln With Fam Mem | 0 | BusinessRlnWithFamMemInd |
| Business Rln With35 Ctrl Ent | 0 | BusinessRlnWith35CtrlEntInd |
| Deductible Non Cash Contri | 0 | DeductibleNonCashContriInd |
| Deductible Art Contribution | 0 | DeductibleArtContributionInd |
| Terminate Operations | 0 | TerminateOperationsInd |
| Partial Liquidation | 0 | PartialLiquidationInd |
| Disregarded Entity | 0 | DisregardedEntityInd |
| Related Entity | 0 | RelatedEntityInd |
| Related Organization Ctrl Ent | 0 | RelatedOrganizationCtrlEntInd |
| Trnsfr Exmpt Non Chrtbl Rltd Org | 0 | TrnsfrExmptNonChrtblRltdOrgInd |
| Activities Conducted Prtshp | 0 | ActivitiesConductedPrtshpInd |
| Schedule O Required | Yes (1) | ScheduleORequiredInd |
| IRP Document | 21 | IRPDocumentCnt |
| IRP Document W2 G | 0 | IRPDocumentW2GCnt |
| Backup Wthld Compliance | Yes (1) | BackupWthldComplianceInd |
| Employee | 27 | EmployeeCnt |
| Employment Tax Returns Filed | Yes (1) | EmploymentTaxReturnsFiledInd |
| Unrelated Bus Incm Over Limit | 0 | UnrelatedBusIncmOverLimitInd |
| Foreign Financial Account | 0 | ForeignFinancialAccountInd |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTransInd |
| Taxable Party Notification | 0 | TaxablePartyNotificationInd |
| Nondeductible Contributions | 0 | NondeductibleContributionsInd |
| Quid Pro Quo Contributions | 0 | QuidProQuoContributionsInd |
| Form8282 Property Disposed Of | 0 | Form8282PropertyDisposedOfInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | 0 | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | 0 | PayPremiumsPrsnlBnftCntrctInd |
| Indoor Tanning Services | 0 | IndoorTanningServicesInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | 0 | SubjToTaxRmnrtnExPrchtPymtInd |
| Subject To Excs Tax Net Invst Inc | 0 | SubjectToExcsTaxNetInvstIncInd |
| Info In Schedule O Part VI | Yes (X) | InfoInScheduleOPartVIInd |
| Governing Body Voting Members | 9 | GoverningBodyVotingMembersCnt |
| Independent Voting Member | 9 | IndependentVotingMemberCnt |
| Family Or Business Rln | 0 | FamilyOrBusinessRlnInd |
| Delegation Of Mgmt Duties | 0 | DelegationOfMgmtDutiesInd |
| Change To Org Documents | 0 | ChangeToOrgDocumentsInd |
| Material Diversion Or Misuse | 0 | MaterialDiversionOrMisuseInd |
| Members Or Stockholders | Yes (1) | MembersOrStockholdersInd |
| Election Of Board Members | Yes (1) | ElectionOfBoardMembersInd |
| Decisions Subject To Approva | Yes (1) | DecisionsSubjectToApprovaInd |
| Minutes Of Governing Body | Yes (1) | MinutesOfGoverningBodyInd |
| Minutes Of Committees | Yes (1) | MinutesOfCommitteesInd |
| Officer Mailing Address | 0 | OfficerMailingAddressInd |
| Local Chapters | 0 | LocalChaptersInd |
| Form990 Provided To Gvrn Body | Yes (1) | Form990ProvidedToGvrnBodyInd |
| Conflict Of Interest Policy | Yes (1) | ConflictOfInterestPolicyInd |
| Annual Disclosure Covered Prsn | Yes (1) | AnnualDisclosureCoveredPrsnInd |
| Regular Monitoring Enfrc | Yes (1) | RegularMonitoringEnfrcInd |
| Whistleblower Policy | Yes (1) | WhistleblowerPolicyInd |
| Document Retention Policy | Yes (1) | DocumentRetentionPolicyInd |
| Compensation Process CEO | Yes (1) | CompensationProcessCEOInd |
| Compensation Process Other | 0 | CompensationProcessOtherInd |
| Investment In Joint Venture | 0 | InvestmentInJointVentureInd |
| Other | Yes (X) | OtherInd |
Books In Care Of Detail BooksInCareOfDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | MARINA ALONSO-MENDOZA | PersonNm |
| Phone | 2027370900 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 750 FIRST STREET NW 990 | AddressLine1Txt |
| City | WASHINGTON | CityNm |
| State Abbreviation | DC | StateAbbreviationCd |
| ZIP | 20002 | ZIPCd |
Form990 Part VII Section A Form990PartVIISectionAGrp (20 entries)
| TitleTitleTxt | Average Hours Per WeekAverageHoursPerWeekRt | OfficerOfficerInd | Reportable Comp From OrgReportableCompFromOrgAmt | Reportable Comp From Rltd OrgReportableCompFromRltdOrgAmt | Other CompensationOtherCompensationAmt | Highest Compensated EmployeeHighestCompensatedEmployeeInd | Individual Trustee Or DirectorIndividualTrusteeOrDirectorInd |
|---|---|---|---|---|---|---|---|
| JOSEPH BRADY | |||||||
| EXECUTIVE DIRECTOR | 40.00 | Yes (X) | $443,800 | $0 | $63,422 | ||
| MARINA ALONSO-MENDOZA | |||||||
| DIRECTOR OF FINANCE AND OPS | 40.00 | Yes (X) | $208,408 | $0 | $47,390 | ||
| VINCENTE MARTINEZ | |||||||
| GENERAL COUNSEL | 40.00 | $243,330 | $0 | $65,721 | Yes (X) | ||
| ZACHARY KNEPPER | |||||||
| DEPUTY GENERAL COUNSEL | 40.00 | $197,589 | $0 | $29,885 | Yes (X) | ||
| JAMES APISTOLAS | |||||||
| DIRECTOR OF EEM | 40.00 | $171,628 | $0 | $47,769 | Yes (X) | ||
| KRISTEN HUTCHENS | |||||||
| DIRECTOR OF POLICY AND GOV'T AFFAIRS | 40.00 | $167,603 | $0 | $31,433 | Yes (X) | ||
| JEANNE HAMRICK | |||||||
| DIRECTOR OF COMMS (UNTIL 10/22) | 40.00 | $165,365 | $0 | $33,066 | Yes (X) | ||
| ANDREW HARTNETT | |||||||
| PRESIDENT (START 9/22) | 8.00 | Yes (X) | $0 | $0 | $0 | Yes (X) | |
| MELANIE SENTER-LUBIN | |||||||
| PRESIDENT (UNTIL 8/22) TRANS. DIRECTORR | 8.00 | Yes (X) | $0 | $0 | $0 | Yes (X) | |
| TOM COTTER | |||||||
| TREASURER (START 9/22) | 8.00 | Yes (X) | $0 | $0 | $0 | Yes (X) | |
| CLAIRE MCHENRY | |||||||
| TREASURER (UNTIL 8/22) | 8.00 | Yes (X) | $0 | $0 | $0 | Yes (X) | |
| KEVIN HOYT | |||||||
| SECRETARY (UNTIL 9/22) | 8.00 | Yes (X) | $0 | $0 | $0 | Yes (X) | |
| DIANE YOUNG-SPITZER | |||||||
| SECRETARY | 8.00 | Yes (X) | $0 | $0 | $0 | Yes (X) | |
| ANDREA SEIDT | |||||||
| DIRECTOR (START 9/22) | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| CLAIRE MCHENRY | |||||||
| DIRECTOR | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| ERIC PISTILLI | |||||||
| DIRECTOR (START 9/22) | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| LESLIE M VAN BUSKIRK | |||||||
| DIRECTOR | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| LISA HOPKINS | |||||||
| DIRECTOR (UNTIL 9/22) | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| MARNI ROCK GIBSON | |||||||
| DIRECTOR | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| WILLIAM BEATTY | |||||||
| DIRECTOR (UNTIL 9/22) | 8.00 | $0 | $0 | $0 | Yes (X) | ||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | $1,597,723 | TotalReportableCompFromOrgAmt |
| Tot Reportable Comp Rltd Org | $0 | TotReportableCompRltdOrgAmt |
| Total Other Compensation | $318,686 | TotalOtherCompensationAmt |
| Indiv Rcvd Greater Than100 K | 11 | IndivRcvdGreaterThan100KCnt |
| Former Ofcr Employees Listed | 0 | FormerOfcrEmployeesListedInd |
| Total Comp Greater Than150 K | Yes (1) | TotalCompGreaterThan150KInd |
| Compensation From Other Srcs | 0 | CompensationFromOtherSrcsInd |
Contractor Compensation ContractorCompensationGrp (4 entries)
| Address Line1ContractorAddress/USAddress/AddressLine1Txt | CityContractorAddress/USAddress/CityNm | State AbbreviationContractorAddress/USAddress/StateAbbreviationCd | ZIPContractorAddress/USAddress/ZIPCd | ServicesServicesDesc | CompensationCompensationAmt |
|---|---|---|---|---|---|
| SOFTWARE CONSULTING SERVICES LLC | |||||
| PO BOX 321269 | FLOWOOD | MS | 39232 | EFD SOFTWARE DEVELOPMENT AND ADMINISTRAT | $340,322 |
| GLOBAL MEETING PARTNERS INC | |||||
| 420 APPLE STREET | POTTSTOWN | PA | 19464 | AUDIO VISUAL EQUIPMENT FOR MEETINGS | $313,958 |
| AUDITBOARD INC | |||||
| 12900 PARK PLAZA DRIVE SUITE 200 | CERRITOS | CA | 90703 | NEMO SOFTWARE DEVELOPMENT AND SUPPORT | $276,040 |
| PROMETRIC LLC | |||||
| PO BOX 223608 | PITTSBURGH | PA | 15251 | IARCE AND SERIES EXAM PROGRAM ADMINISTRA | $275,019 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cntrct Rcvd Greater Than100 K | 4 | CntrctRcvdGreaterThan100KCnt |
Program Service Revenue ProgramServiceRevenueGrp (5 entries)
| DescDesc | BusinessBusinessCd | Total Revenue ColumnTotalRevenueColumnAmt | Related Or Exempt Func IncomeRelatedOrExemptFuncIncomeAmt |
|---|---|---|---|
| EXAMINATION FEES | 900099 | $8,560,660 | $8,560,660 |
| ELECTRONIC FILING DEPOSITORY | 900099 | $4,304,454 | $4,304,454 |
| IAR CE REVENUE | 900099 | $520,911 | $520,911 |
| MEMBERSHIP DUES | 900099 | $167,500 | $167,500 |
| ANNUAL MEETING | 900099 | $130,515 | $130,515 |
Total Oth Program Service Rev TotalOthProgramServiceRevGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $42,550 | TotalRevenueColumnAmt |
| Related Or Exempt Func Income | $42,550 | RelatedOrExemptFuncIncomeAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Program Service Revenue | $13,726,590 | TotalProgramServiceRevenueAmt |
Investment Income InvestmentIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $548,063 | TotalRevenueColumnAmt |
| Exclusion | $548,063 | ExclusionAmt |
Royalties Revenue RoyaltiesRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $41,245 | TotalRevenueColumnAmt |
| Exclusion | $41,245 | ExclusionAmt |
Gross Rents GrossRentsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $19,560 | RealAmt |
Less Rental Expenses LessRentalExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $17,538 | RealAmt |
Rental Income Or Loss RentalIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $2,022 | RealAmt |
Net Rental Income Or Loss NetRentalIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $2,022 | TotalRevenueColumnAmt |
| Exclusion | $2,022 | ExclusionAmt |
Gross Amount Sales Assets GrossAmountSalesAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $1,702,936 | SecuritiesAmt |
Less Cost Oth Basis Sales Expnss LessCostOthBasisSalesExpnssGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $1,748,208 | SecuritiesAmt |
| Other | $95,132 | OtherAmt |
Gain Or Loss GainOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | -$45,272 | SecuritiesAmt |
| Other | -$95,132 | OtherAmt |
Net Gain Or Loss Investments NetGainOrLossInvestmentsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | -$140,404 | TotalRevenueColumnAmt |
| Exclusion | -$140,404 | ExclusionAmt |
Other Revenue Misc OtherRevenueMiscGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | MISCELLANEOUS | Desc |
| Business | 900099 | BusinessCd |
| Total Revenue Column | $6,888 | TotalRevenueColumnAmt |
| Exclusion | $6,888 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Revenue Total | $6,888 | OtherRevenueTotalAmt |
Total Revenue TotalRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $14,184,404 | TotalRevenueColumnAmt |
| Related Or Exempt Func Income | $13,726,590 | RelatedOrExemptFuncIncomeAmt |
| Unrelated Business Revenue | $0 | UnrelatedBusinessRevenueAmt |
| Exclusion | $457,814 | ExclusionAmt |
Comp Current Ofcr Directors CompCurrentOfcrDirectorsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $763,019 | TotalAmt |
| Program Services | $254,529 | ProgramServicesAmt |
| Management And General | $508,490 | ManagementAndGeneralAmt |
Other Salaries And Wages OtherSalariesAndWagesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $2,354,296 | TotalAmt |
| Program Services | $1,218,912 | ProgramServicesAmt |
| Management And General | $1,135,384 | ManagementAndGeneralAmt |
Pension Plan Contributions PensionPlanContributionsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $240,874 | TotalAmt |
| Program Services | $124,311 | ProgramServicesAmt |
| Management And General | $116,563 | ManagementAndGeneralAmt |
Other Employee Benefits OtherEmployeeBenefitsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $241,388 | TotalAmt |
| Program Services | $120,495 | ProgramServicesAmt |
| Management And General | $120,893 | ManagementAndGeneralAmt |
Payroll Taxes PayrollTaxesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $202,924 | TotalAmt |
| Program Services | $96,865 | ProgramServicesAmt |
| Management And General | $106,059 | ManagementAndGeneralAmt |
Fees For Services Legal FeesForServicesLegalGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $47,441 | TotalAmt |
| Management And General | $47,441 | ManagementAndGeneralAmt |
Fees For Services Accounting FeesForServicesAccountingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $74,197 | TotalAmt |
| Management And General | $74,197 | ManagementAndGeneralAmt |
Fees For Services Lobbying FeesForServicesLobbyingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $45,750 | TotalAmt |
| Program Services | $19,947 | ProgramServicesAmt |
| Management And General | $25,803 | ManagementAndGeneralAmt |
Fees For Srvc Invst Mgmnt Fees FeesForSrvcInvstMgmntFeesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $46,128 | TotalAmt |
| Management And General | $46,128 | ManagementAndGeneralAmt |
Fees For Services Other FeesForServicesOtherGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $703,531 | TotalAmt |
| Program Services | $334,198 | ProgramServicesAmt |
| Management And General | $369,333 | ManagementAndGeneralAmt |
Advertising AdvertisingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $15,332 | TotalAmt |
| Program Services | $7,318 | ProgramServicesAmt |
| Management And General | $8,014 | ManagementAndGeneralAmt |
Office Expenses OfficeExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $224,153 | TotalAmt |
| Program Services | $170,771 | ProgramServicesAmt |
| Management And General | $53,382 | ManagementAndGeneralAmt |
Information Technology InformationTechnologyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $506,863 | TotalAmt |
| Program Services | $394,468 | ProgramServicesAmt |
| Management And General | $112,395 | ManagementAndGeneralAmt |
Occupancy OccupancyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $230,904 | TotalAmt |
| Program Services | $125,412 | ProgramServicesAmt |
| Management And General | $105,492 | ManagementAndGeneralAmt |
Travel TravelGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $963,681 | TotalAmt |
| Program Services | $926,879 | ProgramServicesAmt |
| Management And General | $36,802 | ManagementAndGeneralAmt |
Conferences Meetings ConferencesMeetingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $1,676,439 | TotalAmt |
| Program Services | $1,561,923 | ProgramServicesAmt |
| Management And General | $114,516 | ManagementAndGeneralAmt |
Depreciation Depletion DepreciationDepletionGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $324,688 | TotalAmt |
| Program Services | $277,668 | ProgramServicesAmt |
| Management And General | $47,020 | ManagementAndGeneralAmt |
Insurance InsuranceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $58,382 | TotalAmt |
| Program Services | $17,487 | ProgramServicesAmt |
| Management And General | $40,895 | ManagementAndGeneralAmt |
Other Expenses OtherExpensesGrp (4 entries)
| DescDesc | TotalTotalAmt | Program ServicesProgramServicesAmt | Management And GeneralManagementAndGeneralAmt |
|---|---|---|---|
| DUES & SUBSCRIPTIONS | $52,636 | $25,125 | $27,511 |
| CREDIT CARD FEES | $9,496 | $7,479 | $2,017 |
| MISCELLANEOUS EXPENSES | $7,374 | $6,120 | $1,254 |
| PAYROLL PROCESSING FEES | $4,035 | $3,177 | $858 |
Total Functional Expenses TotalFunctionalExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $8,793,531 | TotalAmt |
| Program Services | $5,693,084 | ProgramServicesAmt |
| Management And General | $3,100,447 | ManagementAndGeneralAmt |
| Fundraising | $0 | FundraisingAmt |
Cash Non Interest Bearing CashNonInterestBearingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $879,192 | BOYAmt |
| EOY | $1,685,079 | EOYAmt |
Savings And Temp Cash Invst SavingsAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $11,780 | BOYAmt |
| EOY | $1,178,476 | EOYAmt |
Accounts Receivable AccountsReceivableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $515,264 | BOYAmt |
| EOY | $715,298 | EOYAmt |
Prepaid Expenses Defrd Charges PrepaidExpensesDefrdChargesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $709,513 | BOYAmt |
| EOY | $606,089 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Land Bldg Equip Cost Or Other Bss | $1,744,354 | LandBldgEquipCostOrOtherBssAmt |
| Land Bldg Equip Accum Deprec | $1,154,270 | LandBldgEquipAccumDeprecAmt |
Land Bldg Equip Basis Net LandBldgEquipBasisNetGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $575,412 | BOYAmt |
| EOY | $590,084 | EOYAmt |
Investments Pub Traded Sec InvestmentsPubTradedSecGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $22,749,005 | BOYAmt |
| EOY | $22,858,719 | EOYAmt |
Other Assets Total OtherAssetsTotalGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $47,670 | BOYAmt |
| EOY | $2,280,107 | EOYAmt |
Total Assets TotalAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $25,487,836 | BOYAmt |
| EOY | $29,913,852 | EOYAmt |
Accounts Payable Accr Expnss AccountsPayableAccrExpnssGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $591,600 | BOYAmt |
| EOY | $1,098,022 | EOYAmt |
Deferred Revenue DeferredRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $5,000 | BOYAmt |
| EOY | $390 | EOYAmt |
Other Liabilities OtherLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $193,674 | BOYAmt |
| EOY | $2,297,231 | EOYAmt |
Total Liabilities TotalLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $790,274 | BOYAmt |
| EOY | $3,395,643 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization Follows FASB117 | Yes (X) | OrganizationFollowsFASB117Ind |
No Donor Restriction Net Assets NoDonorRestrictionNetAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $24,697,562 | BOYAmt |
| EOY | $26,518,209 | EOYAmt |
Total Net Assets Fund Balance TotalNetAssetsFundBalanceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $24,697,562 | BOYAmt |
| EOY | $26,518,209 | EOYAmt |
Tot Liab Net Assets Fund Balance TotLiabNetAssetsFundBalanceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $25,487,836 | BOYAmt |
| EOY | $29,913,852 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Reconcilation Revenue Expnss | $5,390,873 | ReconcilationRevenueExpnssAmt |
| Net Unrlzd Gains Losses Invst | -$3,570,226 | NetUnrlzdGainsLossesInvstAmt |
| Other Changes In Net Assets | $0 | OtherChangesInNetAssetsAmt |
| Method Of Accounting Accrual | Yes (X) | MethodOfAccountingAccrualInd |
| Accountant Compile Or Review | 0 | AccountantCompileOrReviewInd |
| FS Audited | Yes (1) | FSAuditedInd |
FS Audited Basis FSAuditedBasisGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Separate Basis Fincl Stmt | Yes (X) | SeparateBasisFinclStmtInd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Audit Committee | Yes (1) | AuditCommitteeInd |
| Federal Grant Audit Required | 0 | FederalGrantAuditRequiredInd |
Schedule A IRS990ScheduleA
| Field | Value | IRS element (for citing) |
|---|---|---|
| Publicly Supported Org509a2 | Yes (X) | PubliclySupportedOrg509a2Ind |
Gross Receipts Admissions GrossReceiptsAdmissionsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $8,722,208 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $8,180,225 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $7,293,880 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $11,696,348 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $13,726,590 | CurrentTaxYearAmt |
| Total | $49,619,251 | TotalAmt |
Total509 Total509Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $8,722,208 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $8,180,225 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $7,293,880 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $11,696,348 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $13,726,590 | CurrentTaxYearAmt |
| Total | $49,619,251 | TotalAmt |
Amounts Rcvd Dsqlfy Person AmountsRcvdDsqlfyPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Substantial Contributors Amt SubstantialContributorsAmtGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Subst And Dsqlfy Prsns Tot SubstAndDsqlfyPrsnsTotGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Public Support Total509 | $49,619,251 | PublicSupportTotal509Amt |
Gross Investment Income509 GrossInvestmentIncome509Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $411,332 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $438,035 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $400,810 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $621,353 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $608,868 | CurrentTaxYearAmt |
| Total | $2,480,398 | TotalAmt |
Investment Income And UBTI InvestmentIncomeAndUBTIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $411,332 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $438,035 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $400,810 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $621,353 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $608,868 | CurrentTaxYearAmt |
| Total | $2,480,398 | TotalAmt |
Other Income509 OtherIncome509Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $29,253 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $7,949 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $90,023 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $8,798 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $6,888 | CurrentTaxYearAmt |
| Total | $142,911 | TotalAmt |
Total Support Calendar Year TotalSupportCalendarYearGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $9,162,793 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $8,626,209 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $7,784,713 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $12,326,499 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $14,342,346 | CurrentTaxYearAmt |
| Total | $52,242,560 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Public Support CY509 | 0.94980 | PublicSupportCY509Pct |
| Public Support PY509 | 0.95190 | PublicSupportPY509Pct |
| Investment Income CY | 0.04750 | InvestmentIncomeCYPct |
| Investment Income PY | 0.04510 | InvestmentIncomePYPct |
| Thirty Thr Pct Suprt Tests CY509 | Yes (X) | ThirtyThrPctSuprtTestsCY509Ind |
Schedule C IRS990ScheduleC
Total Grassroots Lobbying TotalGrassrootsLobbyingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $0 | FilingOrganizationsTotalAmt |
Total Direct Lobbying TotalDirectLobbyingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $254,964 | FilingOrganizationsTotalAmt |
Total Lobbying Expend TotalLobbyingExpendGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $254,964 | FilingOrganizationsTotalAmt |
Other Exempt Purpose Expend OtherExemptPurposeExpendGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $8,492,439 | FilingOrganizationsTotalAmt |
Total Exempt Purpose Expend TotalExemptPurposeExpendGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $8,747,403 | FilingOrganizationsTotalAmt |
Lobbying Nontaxable Amount LobbyingNontaxableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $587,370 | FilingOrganizationsTotalAmt |
Grassroots Nontaxable GrassrootsNontaxableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $146,843 | FilingOrganizationsTotalAmt |
Tot Lbbyng Grassroot Mns Non Tx TotLbbyngGrassrootMnsNonTxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $0 | FilingOrganizationsTotalAmt |
Tot Lbby Expend Mns Lbbyng Non Tx TotLbbyExpendMnsLbbyngNonTxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing Organizations Total | $0 | FilingOrganizationsTotalAmt |
Avg Lobbying Nontaxable Amount AvgLobbyingNontaxableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Year Minus3 | $516,361 | CurrentYearMinus3Amt |
| Current Year Minus2 | $432,945 | CurrentYearMinus2Amt |
| Current Year Minus1 | $471,490 | CurrentYearMinus1Amt |
| Current Year | $587,370 | CurrentYearAmt |
| Total | $2,008,166 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Lobbying Ceiling | $3,012,249 | LobbyingCeilingAmt |
Avg Total Lobbying Expend AvgTotalLobbyingExpendGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Year Minus3 | $205,970 | CurrentYearMinus3Amt |
| Current Year Minus2 | $154,785 | CurrentYearMinus2Amt |
| Current Year Minus1 | $170,738 | CurrentYearMinus1Amt |
| Current Year | $254,964 | CurrentYearAmt |
| Total | $786,457 | TotalAmt |
Avg Grassroots Nontaxable AvgGrassrootsNontaxableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Year Minus3 | $129,090 | CurrentYearMinus3Amt |
| Current Year Minus2 | $108,236 | CurrentYearMinus2Amt |
| Current Year Minus1 | $117,873 | CurrentYearMinus1Amt |
| Current Year | $146,843 | CurrentYearAmt |
| Total | $502,042 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Grassroots Ceiling | $753,063 | GrassrootsCeilingAmt |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | PART II-A, LINE 1B, LOBBYING ACTIVITIES | FormAndLineReferenceDesc |
| Explanation | ACTIVITIES IN WHICH NASAA ENGAGES TO INFLUENCE FEDERAL LEGISLATION INCLUDE: COMMUNICATIONS BETWEEN CONGRESSIONAL OFFICES AND NASAA STAFF AND/OR CONSULTANTS AND/OR NASAA MEMBERS; COMMUNICATIONS TO NASAA MEMBERS; AND RESEARCH AND ANALYSIS TO SUPPORT THESE ACTIVITIES. IN ADDITION TO THESE EFFORTS, NASAA SUPPORTS CONGRESSIONAL OFFICES ON A NONPARTISAN BASIS BY EDUCATING CONGRESSIONAL OFFICES ABOUT SECURITIES REGULATION AND PROVIDING TECHNICAL FEEDBACK ON LEGISLATIVE PROPOSALS. NASAA DOES NOT TREAT THESE EDUCATIONAL ACTIVITIES AS LOBBYING. ACTIVITIES IN WHICH NASAA ENGAGES TO INFLUENCE STATE LEGISLATION ARE RELATIVELY LIMITED. EACH STATE SECURITIES REGULATOR, EITHER INDEPENDENTLY OR IN COORDINATION WITH ANOTHER OFFICE WITHIN ITS STATE GOVERNMENT, IS RESPONSIBLE FOR CONDUCTING ITS OWN STATE LEGISLATIVE OUTREACH. ON LIMITED OCCASIONS, NASAA AGREES TO AUTHORIZE NASAA STAFF AND/OR CONSULTANTS TO SUPPORT A STATE SECURITIES REGULATOR IN ITS EFFORTS TO ADVOCATE FOR OR AGAINST A STATE BILL. WHILE NASAA STATE LOBBYING EFFORTS ARE RARE, NASAA REGULARLY SUPPORTS STATE GOVERNMENTS ON A NONPARTISAN BASIS BY EDUCATING STATE SECURITIES REGULATORS AND THEIR STATE COLLEAGUES, INCLUDING STATE LEGISLATORS, ABOUT NASAA MODEL ACTS OR LANGUAGE AND STATE LEGISLATIVE TRENDS AFFECTING SECURITIES REGULATION. MUCH OF THIS EDUCATIONAL WORK OCCURS THROUGH ASSOCIATIONS THAT INCLUDE OR REPRESENT STATE LEGISLATORS SUCH AS THE NATIONAL CONFERENCE OF STATE LEGISLATORS. NASAA DOES NOT TREAT THESE EDUCATIONAL ACTIVITIES AS LOBBYING. | ExplanationTxt |
Schedule D IRS990ScheduleD
Leasehold Improvements LeaseholdImprovementsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $6,150 | OtherCostOrOtherBasisAmt |
| Depreciation | $683 | DepreciationAmt |
| Book Value | $5,467 | BookValueAmt |
Equipment EquipmentGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $61,624 | OtherCostOrOtherBasisAmt |
| Depreciation | $37,387 | DepreciationAmt |
| Book Value | $24,237 | BookValueAmt |
Other Land Buildings OtherLandBuildingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $1,676,580 | OtherCostOrOtherBasisAmt |
| Depreciation | $1,116,200 | DepreciationAmt |
| Book Value | $560,380 | BookValueAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Book Value Land Buildings | $590,084 | TotalBookValueLandBuildingsAmt |
Other Assets Org OtherAssetsOrgGrp (2 entries)
| DescDesc | Book ValueBookValueAmt |
|---|---|
| DEPOSITS | $124,119 |
| RIGHT OF USE ASSET | $2,155,988 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Book Value Other Assets | $2,280,107 | TotalBookValueOtherAssetsAmt |
Other Liabilities Org OtherLiabilitiesOrgGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | OPERATING LEASE LIABILITY | Desc |
| Amt | $2,297,231 | Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Liability | $2,297,231 | TotalLiabilityAmt |
| Footnote Text | Yes (X) | FootnoteTextInd |
| Total Rev Etc Audited Fincl Stmt | $10,585,588 | TotalRevEtcAuditedFinclStmtAmt |
| Net Unrealized Gains Invst | -$3,570,226 | NetUnrealizedGainsInvstAmt |
| Other Revenue | $17,538 | OtherRevenueAmt |
| Revenue Not Reported | -$3,552,688 | RevenueNotReportedAmt |
| Revenue Subtotal | $14,138,276 | RevenueSubtotalAmt |
| Investment Expenses Not Incld | $46,128 | InvestmentExpensesNotIncldAmt |
| Revenue Not Reported Fincl Stmt | $46,128 | RevenueNotReportedFinclStmtAmt |
| Total Revenue Per Form990 | $14,184,404 | TotalRevenuePerForm990Amt |
| Tot Expns Etc Audited Fincl Stmt | $8,764,941 | TotExpnsEtcAuditedFinclStmtAmt |
| Other Expenses Included | $17,538 | OtherExpensesIncludedAmt |
| Expenses Not Reported | $17,538 | ExpensesNotReportedAmt |
| Expenses Subtotal | $8,747,403 | ExpensesSubtotalAmt |
| Investment Expenses Not Incld2 | $46,128 | InvestmentExpensesNotIncld2Amt |
| Expenses Not Rpt Fincl Stmt | $46,128 | ExpensesNotRptFinclStmtAmt |
| Total Expenses Per Form990 | $8,793,531 | TotalExpensesPerForm990Amt |
Supplemental Information Detail SupplementalInformationDetail (3 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| PART X, LINE 2: | FOR THE YEAR ENDED DECEMBER 31, 2022, NASAA HAS DOCUMENTED ITS CONSIDERATION OF FASB ASC 740-10, INCOME TAXES, THAT PROVIDES GUIDANCE FOR REPORTING UNCERTAINTY IN INCOME TAXES AND HAS DETERMINED THAT NO MATERIAL UNCERTAIN TAX POSITIONS QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. |
| PART XI, LINE 2D - OTHER ADJUSTMENTS: | SUBLESASE RENTAL EXPENSE REPORTED AS EXPENSE ON THE 17,538. FINANCIAL STATEMENTS AND NETTED AGAINST REVENUE ON FORM 990, PART VIII, LINE 6B |
| PART XII, LINE 2D - OTHER ADJUSTMENTS: | SUBLEASE RENTAL EXPENSES REPORTED AS EXPENSE ON THE 17,538. FINANCIAL STATEMENTS AND NETTED AGAINST REVENUE ON FORM 990, PART VIII, LINE 6B |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| Independent Consultant | Yes (X) | IndependentConsultantInd |
| Written Employment Contract | Yes (X) | WrittenEmploymentContractInd |
| Compensation Survey | Yes (X) | CompensationSurveyInd |
| Board Or Committee Approval | Yes (X) | BoardOrCommitteeApprovalInd |
| Severance Payment | Yes (1) | SeverancePaymentInd |
| Supplemental Nonqual Rtr Plan | 0 | SupplementalNonqualRtrPlanInd |
| Equity Based Comp Arrngm | 0 | EquityBasedCompArrngmInd |
| Comp Based On Revenue Of Flng Org | 0 | CompBasedOnRevenueOfFlngOrgInd |
| Comp Bsd On Rev Related Orgs | 0 | CompBsdOnRevRelatedOrgsInd |
| Comp Bsd Net Earns Flng Org | 0 | CompBsdNetEarnsFlngOrgInd |
| Comp Bsd Net Earns Rltd Orgs | 0 | CompBsdNetEarnsRltdOrgsInd |
| Any Non Fixed Payments | Yes (1) | AnyNonFixedPaymentsInd |
| Initial Contract Exception | 0 | InitialContractExceptionInd |
Rltd Org Officer Trst Key Empl RltdOrgOfficerTrstKeyEmplGrp (7 entries)
| TitleTitleTxt | Base Compensation Filing OrgBaseCompensationFilingOrgAmt | Compensation Based On Rltd OrgsCompensationBasedOnRltdOrgsAmt | Bonus Filing OrganizationBonusFilingOrganizationAmount | Bonus Related OrganizationsBonusRelatedOrganizationsAmt | Other Compensation Filing OrgOtherCompensationFilingOrgAmt | Other Compensation Rltd OrgsOtherCompensationRltdOrgsAmt | Deferred Compensation Flng OrgDeferredCompensationFlngOrgAmt | Deferred Comp Rltd OrgsDeferredCompRltdOrgsAmt | Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrgAmt | Nontaxable Benefits Rltd OrgsNontaxableBenefitsRltdOrgsAmt | Total Compensation Filing OrgTotalCompensationFilingOrgAmt | Total Compensation Rltd OrgsTotalCompensationRltdOrgsAmt | Comp Report Prior990 Filing OrgCompReportPrior990FilingOrgAmt | Comp Report Prior990 Rltd OrgsCompReportPrior990RltdOrgsAmt |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| JOSEPH BRADY | ||||||||||||||
| EXECUTIVE DIRECTOR | $393,672 | $0 | $50,128 | $0 | $0 | $0 | $40,500 | $0 | $22,922 | $0 | $507,222 | $0 | $0 | $0 |
| MARINA ALONSO-MENDOZA | ||||||||||||||
| DIRECTOR OF FINANCE AND OPS | $206,908 | $0 | $1,500 | $0 | $0 | $0 | $30,393 | $0 | $16,997 | $0 | $255,798 | $0 | $0 | $0 |
| VINCENTE MARTINEZ | ||||||||||||||
| GENERAL COUNSEL | $241,830 | $0 | $1,500 | $0 | $0 | $0 | $37,891 | $0 | $27,830 | $0 | $309,051 | $0 | $0 | $0 |
| ZACHARY KNEPPER | ||||||||||||||
| DEPUTY GENERAL COUNSEL | $196,089 | $0 | $1,500 | $0 | $0 | $0 | $28,389 | $0 | $1,496 | $0 | $227,474 | $0 | $0 | $0 |
| JAMES APISTOLAS | ||||||||||||||
| DIRECTOR OF EEM | $170,128 | $0 | $1,500 | $0 | $0 | $0 | $23,956 | $0 | $23,813 | $0 | $219,397 | $0 | $0 | $0 |
| KRISTEN HUTCHENS | ||||||||||||||
| DIRECTOR OF POLICY AND GOV'T AFFAIRS | $166,103 | $0 | $1,500 | $0 | $0 | $0 | $22,902 | $0 | $8,531 | $0 | $199,036 | $0 | $0 | $0 |
| JEANNE HAMRICK | ||||||||||||||
| DIRECTOR OF COMMS (UNTIL 10/22) | $144,082 | $0 | $0 | $0 | $21,283 | $0 | $5,903 | $0 | $27,163 | $0 | $198,431 | $0 | $0 | $0 |
Supplemental Information Detail SupplementalInformationDetail (2 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| PART I, LINE 4A | JEANNE HAMRICK RECEIVED SEVERANCE PAY OF $21,283 |
| PART I, LINE 7 | THE FOLLOWING OFFICERS AND HIGHLY COMPENSATED EMPLOYEES RECEIVED BONUSES DURING 2021: JOSEPH BRADY $50,128 VINCENTE MARTINEZ $1,500 MARINA ALONSO-MENDOZA $1,500 ZACHARY KNEPPER $1,500 JAMES APISTOLAS $1,500 KRISTEN HUTCHENS $1,500 |
Schedule O IRS990ScheduleO
Supplemental Information Detail SupplementalInformationDetail (7 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| FORM 990, PART VI, SECTION A, LINE 6 | NASAA IS A PROFESSIONAL ASSOCIATION OF SECURITIES ADMINISTRATORS WITH 67 MEMBERS. |
| FORM 990, PART VI, SECTION A, LINE 7A | NASAA'S DIRECTORS ARE ELECTED BY A VOTE OF THE FULL MEMBERSHIP. |
| FORM 990, PART VI, SECTION A, LINE 7B | PROPOSED AMENDMENTS TO THE ORGANIZATION'S BY-LAWS, IF INITIATED BY THE GOVERNING BODY, REQUIRE APPROVAL BY THE MEMBERSHIP. |
| FORM 990, PART VI, SECTION B, LINE 11B | THE EXECUTIVE DIRECTOR IS PROVIDED WITH A DRAFT OF THE FORM 990 PREPARED BY THE ORGANIZATION'S OUTSIDE CPA. THE EXECUTIVE DIRECTOR, WITH ASSISTANCE FROM THE DIRECTOR OF FINANCE, REVIEWS THE DRAFT AND PROVIDES FEEDBACK TO THE OUTSIDE CPA. THE FINAL DRAFT OF THE FORM 990 IS THEN PROVIDED TO THE BOARD OF DIRECTORS. THE RETURN IS FINALIZED ONCE ALL ISSUES RAISED DURING THE REVIEW PROCESS HAVE BEEN PROPERLY RESOLVED. |
| FORM 990, PART VI, SECTION B, LINE 12C | OFFICERS, DIRECTORS, AND EMPLOYEES (COLLECTIVELY, "COVERED INDIVIDUALS") OF NASAA EACH HAVE AN AFFIRMATIVE OBLIGATION TO ACT AT ALL TIMES IN THE BEST INTERESTS OF NASAA. EACH COVERED INDIVIDUAL DISCLOSES ANY AND ALL FACTS THAT MAY BE CONSTRUED AS A CONFLICT OF INTEREST. DISCLOSURES ARE MADE AT THE TIME OF HIRE, ELECTION OR APPOINTMENT; THROUGH AN ANNUAL DISCLOSURE PROCESS; AND WHENEVER AN ACTUAL OR POTENTIAL CONFLICT ARISES. THE BOARD OF DIRECTORS OR A DESIGNATED WORKING GROUP OF THE BOARD REVIEWS SUBMITTED DISCLOSURES, DETERMINES WHETHER OR NOT A CONFLICT OF INTEREST EXISTS, AND DETERMINES WHETHER OR NOT SUCH CONFLICT MATERIALLY AND ADVERSELY AFFECTS NASAA'S INTERESTS. IF THE BOARD OF DIRECTORS OR THE DESIGNATED WORKING GROUP OF THE BOARD DETERMINES THAT AN ACTUAL OR POTENTIAL CONFLICT OF INTEREST EXIST, IT DETERMINES AN APPROPRIATE REMEDY. |
| FORM 990, PART VI, SECTION B, LINE 15A | THE EXECUTIVE DIRECTOR'S SALARY IS DETERMINED BY THE CORPORATE OFFICE REVIEW COMMITTEE, COMPRISED OF THE PRESIDENT, THE PRESIDENT-ELECT, THE IMMEDIATE PAST PRESIDENT, AND THE TREASURER. THE CORPORATE OFFICE REVIEW COMMITTEE USES COMPARABLE DATA IN ESTABLISHING THE EXECUTIVE DIRECTOR'S SALARY AND DOCUMENTS THE PROCESS. THE MOST RECENT COMPENSATION REVIEW TOOK PLACE IN SEPTEMBER 2022. |
| FORM 990, PART VI, SECTION C, LINE 19 | THE ORGANIZATION DOES NOT MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. |
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