2018-04-13T12:51:09-05:00 2017-08-31 PricewaterhouseCoopers LLP 600 13TH ST NW SUITE 1000 WASHINGTON DC 20005 990 2016-09-01 541386480 CFA INSTITUTE % DIANE BASILE CFAI 4349515499 PO BOX 2083 CHARLOTTESVILLE VA 229022083 PAUL SMITH PRESIDENT & CEO 2018-04-13 true TRAVIS L PATTON P00369623 2024141000 2018-04-06 155.201.188.33 52580220181035000001 2018-04-13 P AB7851C2326A7D256962542EDB89C39D4788EF76 80BFBE0F970546FEC6C63D09B2EB9DEB617C0089 2016 2021-01-29 14:40:06Z PAUL SMITH 915 EAST HIGH STREET CHARLOTTESVILLE VA 229022083 322775676 false X www.cfainstitute.org X 1986 VA TO LEAD THE INVESTMENT PROFESSION GLOBALLY BY PROMOTING THE HIGHEST STANDARDS OF ETHICS, EDUCATION, AND PROFESSIONAL EXCELLENCE FOR THE ULTIMATE BENEFIT OF SOCIETY. 18 17 1307 6800 644706 10227 0 0 281529553 310654368 1883628 9336404 1231503 1647698 284644684 321638470 11580642 13632863 0 0 92419940 98143533 0 0 0 166774788 191454347 270775370 303230743 13869314 18407727 453410522 527428614 211603552 245191228 241806970 282237386 X SEE SCHEDULE O false false THE CHARTERED FINANCIAL ANALYST (CFA)PROGRAM: THE ORGANIZATION ADMINISTERS THE WORLD-RENOWNED CFA PROGRAM, A THREE-LEVEL, EDUCATION AND EXAMINATION PROGRAM COVERING TOPICS ESSENTIAL TO THE INVESTMENT DECISION-MAKING PROCESS. PROGRAM TOPICS FORM THE CANDIDATE BODY OF KNOWLEDGE AND INCLUDE ETHICAL AND PROFESSIONAL STANDARDS, QUANTITATIVE METHODS, ECONOMICS, FINANCIAL STATEMENT REPORTING AND ANALYSIS, CORPORATE FINANCE, EQUITY AND FIXED-INCOME ANALYSIS, ALTERNATIVE INVESTMENTS, DERIVATIVES, PORTFOLIO MANAGEMENT, AND WEALTH PLANNING. PROFESSIONAL DEVELOPMENT MEMBER SERVICES: THE ORGANIZATION PROMOTES LIFELONG LEARNING BY SPONSORING AND DISSEMINATING A VARIETY OF EDUCATIONAL CONTENT TO INVESTMENT PROFESSIONALS ON TOPICS RELEVANT TO THE PROFESSION. IT ALSO PROVIDES CAREER DEVELOPMENT RESOURCES, CREATES AFFILIATION AND NETWORKING OPPORTUNITIES, AND PROMOTES AWARENESS AND RECOGNITION OF MEMBER CREDENTIALS TO THE INDUSTRY AND INVESTING PUBLIC. STANDARDS ADVOCACY, AND THOUGHT LEADERSHIP: THE ORGANIZATION IS A LEADING VOICE ON ISSUES OF FAIRNESS, EFFICIENCY, AND INVESTOR PROTECTION IN GLOBAL CAPITAL MARKETS AND PROMOTES HIGH STANDARDS OF ETHICS, INTEGRITY, AND PROFESSIONAL EXCELLENCE WITHIN THE INVESTMENT COMMUNITY. THE ORGANIZATION ALSO PROMOTES AND ENFORCES THE CFA INSTITUTE CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT. ALL MEMBERS OF THE ORGANIZATION AND CANDIDATES IN THE CFA PROGRAM ARE REQUIRED TO ADHERE TO THIS CODE. false false false true false false false false false true false false false true true false true false true true true false false false false false true false true false false false false false false false false false false true true true true false true X 453 0 true 1307 true true true true HK CH IN UK SN false false false false X 18 17 true false false false true true true true true false false true true true true true true true true false X DIANE BASILE 4349515499 915 EAST HIGH STREET CHARLOTTESVILLE VA 229022083 COLIN W MCLEAN FSIP Board Vice Chair 1.0 0.0 X X 0 0 0 ZOUHEIR TAMIM EL JARKASS CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 ELIZABETH CORLEY FSIP MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 ATTILA KOKSAL CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 BETH HAMILTON-KEEN CFA Board Past Chair 1.0 1.0 X 0 0 0 FREDERIC P LEBEL CFA Board & Exec. Committee Chair 1.0 0.0 X X 0 0 0 DIANE NORDIN CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 MARK J LAZBERGER CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 ROBERT JENKINS FSIP Audit & Risk Committee Chair 1.0 0.0 X 0 0 0 SUNIL SINGHANIA CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 HEATHER BRILLIANT CFA Society Advisory Co-Chair 1.0 0.0 X 0 0 0 PAUL SMITH CFA PRES & CEO & RESRCH FDN BD MEM 40.0 1.0 X X 1334451 0 183480 SCOTT PROCTOR CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 MICHAEL TROTSKY CFA INVESTMENT COMMITTEE CHAIR 1.0 0.0 X X 0 0 0 HUA YU CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 LYNN STOUT MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 DANIEL GAMBA CFA MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 GEORGE SPENTZOSCFA FSIP MEMBER, BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 JOSEPH P LANGE CORPORATE SECRETARY 40.0 0.0 X 149321 0 36942 SANDRA PETERS CFA INTERIM CFO - THROUGH 1/16/17 40.0 0.0 X 523760 0 48875 DIANE BASILE CFA CFO- ENTERED 1/17/2017 40.0 0.0 X 0 0 0 ELAINE CHENG MANAGING DIRECTOR 40.0 0.0 X 529215 0 54355 DONNA MARSHALL MANAGING DIRECTOR-EXIT 12/2016 40.0 0.0 X 360085 0 49740 KURT N SCHACHT CFA MANAGING DIRECTOR 40.0 0.0 X 634517 0 56480 NITIN MEHTA CFA MANAGING DIRECTOR 40.0 0.0 X 523730 0 86739 STEPHEN M HORAN CFA MANAGING DIRECTOR 40.0 0.0 X 549389 0 54558 JOHN BOWMAN CFA MANAGING DIRECTOR 40.0 0.0 X 508805 0 54539 SHERI LYNN LITTLEFIELD CHIEF LEGAL OFFICER 40.0 0.0 X 446724 0 54464 MICHAEL COLLINS MANAGING DIRECTOR 40.0 0.0 X 417898 0 46783 BJORN FORFANG MANAGING DIRECTOR 40.0 0.0 X 351670 0 19225 DARIN GOODWILER MANAGING DIRECTOR 40.0 0.0 X 322853 0 53792 NICK POLLARD MANAGING DIRECTOR 40.0 0.0 X 287305 0 29304 TIMOTHY G MCLAUGHLIN CFA CFO/SENIOR ADV-EXIT 8/2016 40.0 0.0 X 675636 0 25610 PETER B MACKEY CFA HEAD, CREDENTIALING SPEC. PROJ 40.0 0.0 X 425819 0 48662 ROBERT LAMY HEAD, PRACTICE ANALYSIS 40.0 0.0 X 341960 0 42816 LEILANI SANDERS HALL HEAD, PROFESSIONAL CONDUCT 40.0 0.0 X 309356 0 40957 TONY TAN HEAD, STANDARDS & FIN. MARKET 40.0 0.0 X 354429 0 32182 9046923 0 1019503 229 false true false MULLENlOWE PROFERO LLC 386 PARK AVENUE SOUTH 13 FLOOR NEW YORK NY 10016 MARKETING 14970419 PAYMENTECH LLC 4 NORTHEASTERN BLVD SALEM NH 03079 MERCHANT SERVICES 8120245 COGNIZANT TECHNOLOGY SOLUTIONS US C 24721 NETWORK PLACE CHICAGO IL 60673 CONSULTING 5545699 PROFESSIONAL EXAMINATION SERVICE 475 RIVERSIDE DRIVE NEW YORK NY 10115 EXAM ADMINISTRATION 4616374 VITAL SOURCE TECHNOLOGIES INC 1 INGRAM BLVD LA VERGNE TN 37086 CURRICULUM 3988050 250 0 CANDIDATE FEES 900099 215814276 215814276 EDUCATIONAL PRODUCTS 611710 55138366 55138366 MEMBERSHIP DUES 900099 39057020 39057020 ADVERTISING 900099 644706 644706 310654368 10465625 10465625 0 521651 521651 0 0 0 7985 1137206 7985 -1137206 -1129221 -1129221 0 0 0 0 0 0 0 0 0 SERVICE FEE REP. 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CFA INSTITUTE HAS DETERMINED THAT IT HAS ADEQUATELY PROVIDED FOR ALL OPEN TAX YEARS UNDER THE INCOME TAXES TOPIC OF THE FASB ASC AND HAS NO UNCERTAIN TAX POSITIONS. SCHEDULE D, PART XI, LINE 4B LOSS ON DISPOSAL OF ASSETS ($1,137,206) SCHEDULE D, PART XII, LINE 2D LOSS ON DISPOSAL OF ASSETS $1,137,206 true Central America and the Caribbean Program Services MEMBER & ADMIN SUPPORT 99309 Central America and the Caribbean Grantmaking N/A 129290 East Asia and the Pacific 6 66 Program Services MEMBER & ADMIN SUPPORT 24442407 East Asia and the Pacific Grantmaking N/A 1604966 Europe (Including Iceland and Greenland) 2 62 Program Services MEMBER & ADMIN SUPPORT 19868878 Europe (Including Iceland and Greenland) Grantmaking N/A 2174592 Middle East and North Africa Program Services MEMBER & ADMIN SUPPORT 1694515 Middle East and North Africa Grantmaking N/A 237499 North America Program Services MEMBER & ADMIN SUPPORT 3214359 North America Grantmaking N/A 1443615 Russia and the Newly Independent States Program Services MEMBER & ADMIN SUPPORT 173485 Russia and the Newly Independent States Grantmaking N/A 142675 South America Program Services MEMBER & EXAM SUPPORT 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SCHEDULE I, PART I, LINE 2 INDIVIDUAL GRANT PAYMENTS ARE MONITORED AND TRACKED BY CFA INSTITUTE STAFF. GRANT RECIPIENTS ARE REQUIRED TO SUBMIT DETAILED BUSINESS PLANS, BUDGETS AND REPORTS. X X X X X true true X X X X X X true false false JOSEPH P LANGE CORPORATE SECRETARY 129504 0 18480 0 1337 0 18269 0 18673 0 186263 0 0 0 TIMOTHY G MCLAUGHLIN CFA CFO/SENIOR ADV-EXIT 8/2016 382490 0 245791 0 47355 0 13250 0 12360 0 701246 0 33475 0 ELAINE CHENG MANAGING DIRECTOR 280752 0 245091 0 3372 0 31800 0 22555 0 583570 0 26999 0 DONNA MARSHALL MANAGING DIRECTOR-EXIT 12/2016 308961 0 31904 0 19220 0 31800 0 17940 0 409825 0 30234 0 KURT N SCHACHT CFA MANAGING DIRECTOR 366552 0 253205 0 14760 0 31800 0 24680 0 690997 0 37080 0 NITIN MEHTA CFA MANAGING DIRECTOR 284785 0 213852 0 25093 0 74526 0 12213 0 610469 0 32220 0 PETER B MACKEY CFA HEAD, CREDENTIALING SPEC. PROJ 332615 0 79866 0 13338 0 31800 0 16862 0 474481 0 0 0 SANDRA PETERS CFA INTERIM CFO - THROUGH 1/16/17 291650 0 228317 0 3793 0 31800 0 17075 0 572635 0 0 0 STEPHEN M HORAN CFA MANAGING DIRECTOR 292178 0 253845 0 3366 0 31800 0 22758 0 603947 0 30000 0 JOHN BOWMAN CFA MANAGING DIRECTOR 277595 0 210958 0 20252 0 31800 0 22739 0 563344 0 27501 0 PAUL SMITH CFA PRES & CEO & RESRCH FDN BD MEM 599227 735224 0 139616 43864 1517931 49377 ROBERT LAMY HEAD, PRACTICE ANALYSIS 298135 0 36452 0 7373 0 31800 0 11016 0 384776 0 0 0 SHERI LYNN LITTLEFIELD CHIEF LEGAL OFFICER 283929 0 158202 0 4593 0 31800 0 22664 0 501188 0 1986 0 MICHAEL COLLINS MANAGING DIRECTOR 264700 0 148131 0 5067 0 25776 0 21007 0 464681 0 0 0 BJORN FORFANG MANAGING DIRECTOR 289939 0 55699 0 6032 0 4750 0 14475 0 370895 0 0 0 DARIN GOODWILER MANAGING DIRECTOR 205728 0 110156 0 6969 0 31800 0 21992 0 376645 0 0 0 LEILANI SANDERS HALL HEAD, PROFESSIONAL CONDUCT 236588 0 63010 0 9758 0 31800 0 9157 0 350313 0 0 0 NICK POLLARD MANAGING DIRECTOR 228403 0 36062 0 22840 0 1740 0 27564 0 316609 0 0 0 TONY TAN HEAD, STANDARDS & FIN. MARKET 295262 0 58562 0 605 0 12565 0 19617 0 386611 0 0 0 SCHEDULE J, PART I, LINE 1A MEMBERS OF THE LEADERSHIP TEAM ARE ELIGIBLE TO BOOK A BUSINESS CLASS FARE (REGARDLESS OF FLIGHT TIME OR SEGMENT MILEAGE). IF THE SELECTED FLIGHT OFFERS A 3-CABIN CONFIGURATION (ECONOMY/BUSINESS/FIRST), A BUSINESS CLASS TICKET IS APPROPRIATE. IF THE SELECTED FLIGHT ONLY OFFERS A 2-CABIN CONFIGURATION (ECONOMY/FIRST), A FIRST CLASS TICKET IS APPROPRIATE. LEADERSHIP TEAM TRAVELERS SHOULD CONSIDER BOTH A FLEXIBLE AND A RESTRICTED TICKET AND SELECT THE FARE THAT PROVIDES THE BEST OPTION FOR THEIR TRAVEL. A FLEXIBLE TICKET IS APPROPRIATE IF ONE'S SCHEDULE IS LIKELY TO CHANGE. A CHANGEABLE, NON-REFUNDABLE TICKET IS APPROPRIATE IF ONE'S SCHEDULE IS FIRM. TRAVEL FOR COMPANIONS: AN EMPLOYEE CAN EXCHANGE BUSINESS CLASS AIRFARE FOR TWO COACH AIRFARES TO INCLUDE COMPANION TRAVEL. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: TAX SERVICES FOR EXPATRIATES ARE GROSSED-UP. ALL EXPATRIATES AND INTERNATIONAL ROTATION ASSIGNMENT PROGRAM EMPLOYEES' SALARIES ARE EQUALIZED TO THEIR RESIDENTIAL TAX CODE. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: CFA INSTITUTE PAYS FOR RELOCATION HOUSING AND INCLUDES THIS IN THE EMPLOYEE'S COMPENSATION. AS CUSTOMARY IN LOCAL COUNTRY, CFA INSTITUTE EMPLOYEES WHO LIVE AND WORK IN HONG KONG OR INDIA ARE PROVIDED HOUSING ALLOWANCES WHICH ARE INCLUDED IN COMPENSATION. HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES: THE U.S. WELLNESS PROGRAM CHANGED IN CY2016 FROM A REIMBURSABLE PLAN TO A CREDIT-WELLNESS PROGRAM. HOWEVER, U.S. EMPLOYEES WHO ARE NOT COVERED BY A CFA INSTITUTE HEALTH PLAN, AND NON-U.S. EMPLOYEES ARE STILL ELIGIBLE FOR REIMBURSEMENTS ASSUMING THEY QUALIFY. SCHEDULE J, PART I LINE 4A SEVERANCE PAYMENTS WERE MADE AS FOLLOWS: TIM MCLAUGHLIN $2,000 DONNA MARSHALL $9,000 PART III, LINE 1, ORGANIZATION'S MISSION CFA INSTITUTE IS THE GLOBAL, NON-PROFIT PROFESSIONAL MEMBERSHIP ASSOCIATION THAT ADMINISTERS THE CHARTERED FINANCIAL ANALYST (CFA) CERTIFICATE, THE CERTIFICATE IN INVESTMENT PERFORMANCE MEASUREMENT (CIPM) AND THE CFA INSTITUTE INVESTMENT FOUNDATIONS CURRICULUM. EXAMINATION PROGRAMS ARE CONDUCTED WORLDWIDE ALONG WITH RESEARCH, PROFESSIONAL DEVELOPMENT PROGRAMS AND PROFESSIONAL CONDUCT ENFORCEMENT FOR ITS INDIVIDUAL MEMBERS. THE ORGANIZATION SETS VOLUNTARY, ETHICS-BASED PROFESSIONAL AND PERFORMANCE-REPORTING STANDARDS FOR THE INVESTMENT PROFESSION. THE STATED MISSION OF THE ORGANIZATION IS TO LEAD THE INVESTMENT PROFESSION GLOBALLY BY PROMOTING THE HIGHEST STANDARDS OF ETHICS, EDUCATION, AND PROFESSIONAL EXCELLENCE FOR THE ULTIMATE BENEFIT OF SOCIETY. CFA INSTITUTE PURSUES THIS MISSION ON BEHALF OF ITS INDIVIDUAL MEMBERS WHO CURRENTLY NUMBER 156,801 IN 167 COUNTRIES. CFA INSTITUTE'S MEMBERSHIP INCLUDES 150,700 CFA CHARTERHOLDERS AND EXTENDS ITS REACH INTO LOCAL COMMUNITIES THROUGH A NETWORK OF 148 MEMBER SOCIETIES IN 73 COUNTRIES. CFA INSTITUTE IS HEADQUARTERED IN CHARLOTTESVILLE, VIRGINIA, UNITED STATES, WITH BRANCH OFFICES IN LONDON, BRUSSELS, HONG KONG AND NEW YORK, AND SUBSIDIARY OFFICES IN BEIJING, HONG KONG, MUMBAI, SHANGHAI AND SINGAPORE. MORE INFORMATION ON THE ORGANIZATION CAN BE FOUND AT WWW.CFAINSTITUTE.ORG. PART III, LINE 4D, OTHER PROGRAM SERVICES CFA INSTITUTE ALSO PROVIDES A VARIETY OF PROGRAMS AND SERVICES TO ITS MEMBERS AND TO THE GLOBAL INVESTMENT COMMUNITY AT LARGE. PROGRAMS INCLUDE THE CERTIFICATE IN INVESTMENT PERFORMANCE MEASURMENT (CIPM), A DESIGNATION PROGRAM FOR PROFESSIONALS THAT PRODUCE, INTERPRET, PRESENT AND EXPLAIN INVESTMENT PERFORMANCE AND PRODUCTS (INCLUDING SELECTION AND EVALUATION OF INVESTMENT MANAGERS), AND THE CFA INSTITUTE INVESTMENT FOUNDATIONS, A PROGRAM FOR NON-PROFESSIONALS WORKING IN THE INVESTMENT MANAGEMENT INDUSTRY. PART VI, LINE 2 HEATHER BRILLIANT AND MARK LAZBERGER HAVE A BUSINESS RELATIONSHIP. PART VI, LINES 6, 7A & 7B THE FOUR CLASSES OF MEMBERSHIP IN CFA INSTITUTE ARE REGULAR, AFFILIATE, CHARTERHOLDER MEMBERS AND MEMBER SOCIETIES. REGULAR MEMBERS ARE ENTITLED TO ONE VOTE ON EACH MATTER SUBMITTED AT MEMBER MEETINGS AND ALSO HAVE THE RIGHT TO ELECT THE BOARD OF GOVERNORS. THE BOARD MAY HAVE UP TO TWO GOVERNORS WHO ARE NOT REGULAR MEMBERS. ALL OTHER GOVERNORS SHALL BE REGULAR MEMBERS. PART VI, LINE 11B FORM 990 IS PRESENTED TO THE AUDIT AND RISK COMMITTEE AND DISCUSSED IN DETAIL. IN ADDITION, COPIES ARE PROVIDED TO EACH OF THE BOARD OF GOVERNORS. THESE PRESENTATIONS TAKE PLACE PRIOR TO FILING. PART VI, LINE 12C CONFLICT OF INTEREST STATEMENTS ARE COLLECTED ANNUALLY. EMPLOYEE AND BOARD OF GOVERNORS' DISCLOSURES ARE DIRECTED TO THE CHIEF COMPLIANCE, RISK, AND ETHICS OFFICER. THE CONFLICT OF INTEREST POLICY PROVIDES VARIOUS AVENUES FOR REPORTING, INCLUDING ANYONE WISHING TO ESCALATE CONCERNS DIRECTLY TO THE AUDIT AND RISK COMMITTEE CHAIR. COMPLIANCE TRAINING ON THE CODE OF CONDUCT, INCLUDING ON CONFLICTS OF INTEREST, IS REQUIRED FOR ALL NEW EMPLOYEES AND ONGOING ANNUALLY. ALL EMPLOYEES ACKNOWLEDGE THEIR UNDERSTANDING AND ADHERENCE TO POLICY WITHIN THE CODE OF CONDUCT ANNUALLY. THE RESTRICTIONS IMPOSED ON A PERSON WITH A CONFLICT VARY BASED ON THE NATURE OF THE CONFLICT AND THE SITUATION; HOWEVER, RESOLUTION OF A CONFLICT COULD INCLUDE PROHIBITING A BOARD MEMBER FROM PARTICIPATING IN A PARTICULAR DELIBERATION AND/OR DECISION. PART VI, LINES 15A & 15B TO ENSURE ONGOING AND EFFECTIVE CORPORATE GOVERNANCE, THE BOARD OF GOVERNORS UTILIZES A COMPENSATION COMMITTEE COMPRISED OF FOUR GOVERNORS WHO ARE INDEPENDENT OF MANAGEMENT OF CFA INSTITUTE, AND ARE FREE OF ANY RELATIONSHIP THAT WOULD INTERFERE WITH THEIR EXERCISE OF INDEPENDENT JUDGMENT. THE CGC SETS THE COMPENSATION OF THE CEO, INCLUDING ANY INCENTIVE, AND ENGAGES INDEPENDENT CONSULTANTS AS NEEDED TO PROVIDE COMPENSATION RECOMMENDATIONS. THE COMMITTEE ENSURES THAT INDEPENDENT COMPARATIVE COMPENSATION STUDIES ARE CONDUCTED ON AN ANNUAL BASIS TO GAUGE THE COMPETITIVENESS OF EXECUTIVE COMPENSATION AT CFA INSTITUTE. THE MOST RECENT EXECUTIVE MARKET STUDY WAS CONDUCTED IN FY2014, WHEN CFA INSTITUTE RETAINED A GLOBAL MANAGEMENT CONSULTING FIRM TO PROVIDE COMPETITIVE PAY BENCHMARKS THAT REFLECT THE MARKETS FROM WHICH CFA INSTITUTE WOULD MOST LIKELY RECRUIT EXECUTIVE TALENT. PEER GROUP SELECTION SPANNED DIFFERENT INDUSTRY SECTORS, INCLUDING NOT-FOR-PROFIT AND FINANCIAL SERVICES FIRMS, ACADEMIA AND HIGHER EDUCATION, AND GENERAL INDUSTRY. THE NOT-FOR-PROFIT PEER GROUP SELECTION WAS BASED ON CRITERIA THAT INCLUDED MISSION, REVENUE, HEADCOUNT AND GLOBAL PRESENCE. PAY DATA WAS COLLECTED FROM PUBLICLY DISCLOSED IRS FORM 990S. DATA FOR THE OTHER INDUSTRY SECTORS WAS SOURCED USING BOTH THIRD-PARTY SURVEY DATA AND INFORMATION DISCLOSED ON PUBLIC FILINGS. THE CONSULTING FIRM PERFORMED THIS STUDY ON AN INDEPENDENT FEE BASIS. ADDITIONALLY, THE CFA INSTITUTE COMPENSATION COMMITTEE ALSO ENGAGES INDEPENDENT ADVISORS TO HELP INTERPRET HOW THE REPORTED MARKET DATA APPLIES TO CFA INSTITUTE'S EXECUTIVE POSITIONS. PART VI, LINE 19 THE ORGANIZATION'S FINANCIAL STATEMENTS, GOVERNING DOCUMENTS AND THE CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC THROUGH THE ORGANIZATION'S WEBSITE, WWW.CFAINSTITUTE.ORG. 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