NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC: Form 990, tax year 2015

View the entire original 990 at ProPublica ↗

Organization
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC (EIN 47-0730228)
Tax period
2015-01-01 to 2015-12-31
Filed
2016-11-10
IRS object ID
201623159349300807
Schema version
2015v2.1
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

FieldValueIRS element (for citing)
Return2016-11-10T06:56:08-06:00ReturnTs
Tax Period End2015-12-31TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

FieldValueIRS element (for citing)
Preparer Firm EIN521073331PreparerFirmEIN

Preparer Firm Name PreparerFirmName

FieldValueIRS element (for citing)
Business Name Line1DEMBO JONES PCBusinessNameLine1Txt

Preparer US Address PreparerUSAddress

FieldValueIRS element (for citing)
Address Line16010 EXECUTIVE BLVD SUITE 900AddressLine1Txt
CityROCKVILLECityNm
State AbbreviationMDStateAbbreviationCd
ZIP20852ZIPCd
FieldValueIRS element (for citing)
Return Type990ReturnTypeCd
Tax Period Begin2015-01-01TaxPeriodBeginDt

Filer Filer

FieldValueIRS element (for citing)
EIN470730228EIN

Business Name BusinessName

FieldValueIRS element (for citing)
Business Name Line1NORTH AMERICAN SECURITIES ADMINISTRATORSBusinessNameLine1Txt
Business Name Line2ASSOCIATION INCBusinessNameLine2Txt
FieldValueIRS element (for citing)
Business Name ControlNORTBusinessNameControlTxt
Phone2027370900PhoneNum

US Address USAddress

FieldValueIRS element (for citing)
Address Line1750 FIRST STREET NE NO 1140AddressLine1Txt
CityWASHINGTONCityNm
State AbbreviationDCStateAbbreviationCd
ZIP20002ZIPCd

Business Officer BusinessOfficerGrp

FieldValueIRS element (for citing)
PersonJOSEPH BRADYPersonNm
Person TitleEXECUTIVE DIRECTORPersonTitleTxt
Phone2027370900PhoneNum
Signature2016-11-08SignatureDt
Discuss With Paid PreparerYes (1)DiscussWithPaidPreparerInd

Preparer Person PreparerPersonGrp

FieldValueIRS element (for citing)
Preparer PersonANDREW B MITCHELLPreparerPersonNm
PTINP00486994PTIN
Phone3017705100PhoneNum
FieldValueIRS element (for citing)
Tax2015TaxYr
Build TS2017-02-10 21:41:12ZBuildTS

Form 990 IRS990

FieldValueIRS element (for citing)
Principal OfficerJUDITH SHAWPrincipalOfficerNm

US Address USAddress

FieldValueIRS element (for citing)
Address Line1750 FIRST STREET NE NO 1140AddressLine1Txt
CityWASHINGTONCityNm
State AbbreviationDCStateAbbreviationCd
ZIP20002ZIPCd
FieldValueIRS element (for citing)
Gross Receipts$6,821,429GrossReceiptsAmt
Group Return For Affiliates0GroupReturnForAffiliatesInd
Organization501c3Yes (X)Organization501c3Ind
Website AddressWWW.NASAA.ORGWebsiteAddressTxt
Type Of Organization CorpYes (X)TypeOfOrganizationCorpInd
Formation1919FormationYr
Legal Domicile StateDCLegalDomicileStateCd
Activity Or MissionNASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, COMMUNICATION, AND COORDINATION.ActivityOrMissionDesc
Voting Members Governing Body9VotingMembersGoverningBodyCnt
Voting Members Independent9VotingMembersIndependentCnt
Total Employee20TotalEmployeeCnt
Total Volunteers0TotalVolunteersCnt
Total Gross UBI$0TotalGrossUBIAmt
Net Unrelated Bus Txbl Incm$0NetUnrelatedBusTxblIncmAmt
PY Contributions Grants$0PYContributionsGrantsAmt
CY Contributions Grants$0CYContributionsGrantsAmt
PY Program Service Revenue$6,047,195PYProgramServiceRevenueAmt
CY Program Service Revenue$6,704,933CYProgramServiceRevenueAmt
PY Investment Income$17,304PYInvestmentIncomeAmt
CY Investment Income$27,592CYInvestmentIncomeAmt
PY Other Revenue$47,890PYOtherRevenueAmt
CY Other Revenue$88,904CYOtherRevenueAmt
PY Total Revenue$6,112,389PYTotalRevenueAmt
CY Total Revenue$6,821,429CYTotalRevenueAmt
PY Grants And Similar Paid$0PYGrantsAndSimilarPaidAmt
CY Grants And Similar Paid$0CYGrantsAndSimilarPaidAmt
PY Benefits Paid To Members$0PYBenefitsPaidToMembersAmt
CY Benefits Paid To Members$0CYBenefitsPaidToMembersAmt
PY Salaries Comp Emp Bnft Paid$2,163,133PYSalariesCompEmpBnftPaidAmt
CY Salaries Comp Emp Bnft Paid$2,055,098CYSalariesCompEmpBnftPaidAmt
PY Total Prof Fndrsng Expns$0PYTotalProfFndrsngExpnsAmt
CY Total Prof Fndrsng Expns$0CYTotalProfFndrsngExpnsAmt
CY Total Fundraising Expense$0CYTotalFundraisingExpenseAmt
PY Other Expenses$3,131,396PYOtherExpensesAmt
CY Other Expenses$3,614,287CYOtherExpensesAmt
PY Total Expenses$5,294,529PYTotalExpensesAmt
CY Total Expenses$5,669,385CYTotalExpensesAmt
PY Revenues Less Expenses$817,860PYRevenuesLessExpensesAmt
CY Revenues Less Expenses$1,152,044CYRevenuesLessExpensesAmt
Total Assets BOY$7,561,371TotalAssetsBOYAmt
Total Assets EOY$8,813,209TotalAssetsEOYAmt
Total Liabilities BOY$428,597TotalLiabilitiesBOYAmt
Total Liabilities EOY$528,391TotalLiabilitiesEOYAmt
Net Assets Or Fund Balances BOY$7,132,774NetAssetsOrFundBalancesBOYAmt
Net Assets Or Fund Balances EOY$8,284,818NetAssetsOrFundBalancesEOYAmt
MissionNASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, COMMUNICATION, AND COORDINATION.MissionDesc
Significant New Program Srvc0SignificantNewProgramSrvcInd
Significant Change0SignificantChangeInd
Expense$481,240ExpenseAmt
Revenue$135,550RevenueAmt
DescAN ANNUAL FALL CONFERENCE IS HELD EACH YEAR IN A DIFFERENT CITY TO ATTRACT NORTH AMERICAN PARTICIPANTS IN THE EDUCATIONAL PANELS.Desc

Prog Srvc Accom Acty2 ProgSrvcAccomActy2Grp

FieldValueIRS element (for citing)
Expense$163,450ExpenseAmt
Revenue$22,720RevenueAmt
DescAN ANNUAL SPRING CONFERENCE IS HELD EACH YEAR IN WASHINGTON, DC IN CONJUNCTION WITH A FULL MEMBERSHIP MEETING. BOTH SERVE TO UPDATE PARTICIPANTS AND MEMBERS ON CURRENT EVENTS PERTAINING TO SECURITIES ADMINISTRATION.Desc

Prog Srvc Accom Acty3 ProgSrvcAccomActy3Grp

FieldValueIRS element (for citing)
Expense$1,935,609ExpenseAmt
Revenue$6,546,663RevenueAmt
DescOTHER CONFERENCES, PROGRAMS AND ACTIVITIES ARE ORGANIZED THROUGHOUT THE YEAR TO PROVIDE TRAINING AND EDUCATION TO MEMBERS WHO DEAL WITH SECURITIES REGULATION AND ENFORCEMENT MATTERS.Desc
FieldValueIRS element (for citing)
Total Program Service Expenses$2,580,299TotalProgramServiceExpensesAmt
Described In Section501c3Yes (1)DescribedInSection501c3Ind
Schedule B Required0ScheduleBRequiredInd
Political Campaign Acty0PoliticalCampaignActyInd
Lobbying ActivitiesYes (1)LobbyingActivitiesInd
Subject To Proxy Tax0SubjectToProxyTaxInd
Donor Advised Fund0DonorAdvisedFundInd
Conservation Easements0ConservationEasementsInd
Collections Of Art0CollectionsOfArtInd
Credit Counseling0CreditCounselingInd
Temp Or Permanent Endowments0TempOrPermanentEndowmentsInd
Report Land Building EquipmentYes (1)ReportLandBuildingEquipmentInd
Report Investments Other Sec0ReportInvestmentsOtherSecInd
Report Program Related Invst0ReportProgramRelatedInvstInd
Report Other Assets0ReportOtherAssetsInd
Report Other Liabilities0ReportOtherLiabilitiesInd
Include FIN48 Footnote0IncludeFIN48FootnoteInd
Independent Audit Fincl StmtYes (1)IndependentAuditFinclStmtInd
Consolidated Audit Fincl Stmt0ConsolidatedAuditFinclStmtInd
School Operating0SchoolOperatingInd
Foreign Office0ForeignOfficeInd
Foreign Activities0ForeignActivitiesInd
More Than5000 K To Org0MoreThan5000KToOrgInd
More Than5000 K To Individuals0MoreThan5000KToIndividualsInd
Professional Fundraising0ProfessionalFundraisingInd
Fundraising Activities0FundraisingActivitiesInd
Gaming Activities0GamingActivitiesInd
Operate Hospital0OperateHospitalInd
Grants To Organizations0GrantsToOrganizationsInd
Grants To Individuals0GrantsToIndividualsInd
Schedule J RequiredYes (1)ScheduleJRequiredInd
Tax Exempt Bonds0TaxExemptBondsInd
Engaged In Excess Benefit Trans0EngagedInExcessBenefitTransInd
PY Excess Benefit Trans0PYExcessBenefitTransInd
Loan Outstanding0LoanOutstandingInd
Grant To Related Person0GrantToRelatedPersonInd
Business Rln With Org Mem0BusinessRlnWithOrgMemInd
Business Rln With Fam Mem0BusinessRlnWithFamMemInd
Business Rln With Officer Ent0BusinessRlnWithOfficerEntInd
Deductible Non Cash Contri0DeductibleNonCashContriInd
Deductible Art Contribution0DeductibleArtContributionInd
Terminate Operations0TerminateOperationsInd
Partial Liquidation0PartialLiquidationInd
Disregarded Entity0DisregardedEntityInd
Related Entity0RelatedEntityInd
Related Organization Ctrl Ent0RelatedOrganizationCtrlEntInd
Trnsfr Exmpt Non Chrtbl Rltd Org0TrnsfrExmptNonChrtblRltdOrgInd
Activities Conducted Prtshp0ActivitiesConductedPrtshpInd
Schedule O RequiredYes (1)ScheduleORequiredInd
IRP Document22IRPDocumentCnt
IRP Document W2 G0IRPDocumentW2GCnt
Backup Wthld ComplianceYes (1)BackupWthldComplianceInd
Employee20EmployeeCnt
Employment Tax Returns FiledYes (1)EmploymentTaxReturnsFiledInd
Unrelated Bus Incm Over Limit0UnrelatedBusIncmOverLimitInd
Foreign Financial Account0ForeignFinancialAccountInd
Prohibited Tax Shelter Trans0ProhibitedTaxShelterTransInd
Taxable Party Notification0TaxablePartyNotificationInd
Nondeductible Contributions0NondeductibleContributionsInd
Quid Pro Quo Contributions0QuidProQuoContributionsInd
Form8282 Property Disposed Of0Form8282PropertyDisposedOfInd
Indoor Tanning Services0IndoorTanningServicesInd
Info In Schedule O Part VIYes (X)InfoInScheduleOPartVIInd
Governing Body Voting Members9GoverningBodyVotingMembersCnt
Independent Voting Member9IndependentVotingMemberCnt
Family Or Business Rln0FamilyOrBusinessRlnInd
Delegation Of Mgmt Duties0DelegationOfMgmtDutiesInd
Change To Org Documents0ChangeToOrgDocumentsInd
Material Diversion Or Misuse0MaterialDiversionOrMisuseInd
Members Or StockholdersYes (1)MembersOrStockholdersInd
Election Of Board MembersYes (1)ElectionOfBoardMembersInd
Decisions Subject To ApprovaYes (1)DecisionsSubjectToApprovaInd
Minutes Of Governing BodyYes (1)MinutesOfGoverningBodyInd
Minutes Of CommitteesYes (1)MinutesOfCommitteesInd
Officer Mailing Address0OfficerMailingAddressInd
Local Chapters0LocalChaptersInd
Form990 Provided To Gvrn BodyYes (1)Form990ProvidedToGvrnBodyInd
Conflict Of Interest PolicyYes (1)ConflictOfInterestPolicyInd
Annual Disclosure Covered Prsn0AnnualDisclosureCoveredPrsnInd
Regular Monitoring Enfrc0RegularMonitoringEnfrcInd
Whistleblower PolicyYes (1)WhistleblowerPolicyInd
Document Retention PolicyYes (1)DocumentRetentionPolicyInd
Compensation Process CEOYes (1)CompensationProcessCEOInd
Compensation Process Other0CompensationProcessOtherInd
Investment In Joint Venture0InvestmentInJointVentureInd
Upon RequestYes (X)UponRequestInd

Books In Care Of Detail BooksInCareOfDetail

Business Name BusinessName

FieldValueIRS element (for citing)
Business Name Line1NASAABusinessNameLine1Txt
FieldValueIRS element (for citing)
Phone2027370900PhoneNum

US Address USAddress

FieldValueIRS element (for citing)
Address Line1750 FIRST ST NE 1140 WASHINGTON DCAddressLine1Txt
CityWASHINGTONCityNm
State AbbreviationDCStateAbbreviationCd
ZIP20002ZIPCd

Form990 Part VII Section A Form990PartVIISectionAGrp (15 entries)

TitleTitleTxtAverage Hours Per WeekAverageHoursPerWeekRtIndividual Trustee Or DirectorIndividualTrusteeOrDirectorIndReportable Comp From OrgReportableCompFromOrgAmtReportable Comp From Rltd OrgReportableCompFromRltdOrgAmtOther CompensationOtherCompensationAmtOfficerOfficerIndHighest Compensated EmployeeHighestCompensatedEmployeeInd
DIANA FOLEY
DIRECTOR8.00Yes (X)$0$0$0
JUDITH SHAW
PRESIDENT/DIRECTOR8.00Yes (X)$0$0$0Yes (X)
WILLIAM BEATTY
PAST PRESIDENT/DIRECTOR8.00Yes (X)$0$0$0Yes (X)
MIKE ROTHMAN
PRESIDENT ELECT/DIRECTOR8.00Yes (X)$0$0$0Yes (X)
GERALD ROME
SECRETARY/DIRECTOR8.00Yes (X)$0$0$0Yes (X)
JACK HERSTEIN
DIRECTOR8.00Yes (X)$0$0$0
JOSEPH BORG
DIRECTOR8.00Yes (X)$0$0$0
JOHN MORGAN
DIRECTOR8.00Yes (X)$0$0$0
KATHRYN DANIELS
TREASURER/DIRECTOR8.00Yes (X)$0$0$0Yes (X)
JOSEPH BRADY
EXECUTIVE DIRECTOR40.00$229,215$0$39,051Yes (X)
ROBERT WEBSTER
COMMUNICATIONS DIRECTOR40.00$155,959$0$34,911Yes (X)
MICHAEL CANNING
POLICY DIRECTOR40.00$114,735$0$25,022Yes (X)
MARK MCLAUGHLIN
DIRECTOR OF FINANCE AND OP40.00$134,675$0$21,377Yes (X)
ANNE-VALERIE MIRKO
GENERAL COUNSEL40.00$132,964$0$14,082Yes (X)
ANYA COVERMAN
DEP DIR OF POLICY/ASSOC GEN COUNSEL40.00$101,685$0$10,241Yes (X)
FieldValueIRS element (for citing)
Total Reportable Comp From Org$869,233TotalReportableCompFromOrgAmt
Tot Reportable Comp Rltd Org$0TotReportableCompRltdOrgAmt
Total Other Compensation$144,684TotalOtherCompensationAmt
Indiv Rcvd Greater Than100 K6IndivRcvdGreaterThan100KCnt
Former Ofcr Employees Listed0FormerOfcrEmployeesListedInd
Total Comp Greater Than150 KYes (1)TotalCompGreaterThan150KInd
Compensation From Other Srcs0CompensationFromOtherSrcsInd

Contractor Compensation ContractorCompensationGrp (3 entries)

Address Line1ContractorAddress/USAddress/AddressLine1TxtCityContractorAddress/USAddress/CityNmState AbbreviationContractorAddress/USAddress/StateAbbreviationCdZIPContractorAddress/USAddress/ZIPCdServicesServicesDescCompensationCompensationAmt
SOFTWARE CONSULTING SERVICES
PO BOX 321269FLOWOODMS39232SOFTWARE$218,966
GLOBAL MEETING PARTNERS
420 APPLE STREETPOTTSTOWNPA19464MEETING/CONVENTION SERVICES$205,454
SPENCER STUART
PO BOX 98991CHICAGOIL60693MANAGEMENT RECRUITING$104,238
FieldValueIRS element (for citing)
Cntrct Rcvd Greater Than100 K3CntrctRcvdGreaterThan100KCnt

Program Service Revenue ProgramServiceRevenueGrp (5 entries)

DescDescBusinessBusinessCdTotal Revenue ColumnTotalRevenueColumnAmtRelated Or Exempt Func IncomeRelatedOrExemptFuncIncomeAmt
EXAM FEES & GUIDES900099$5,776,688$5,776,688
ELECTRONIC FORM D900099$600,900$600,900
CONFERENCES900099$172,425$172,425
MEMBERSHIP FEES900099$120,600$120,600
TRAINING EVENTS900099$34,320$34,320
FieldValueIRS element (for citing)
Total Program Service Revenue$6,704,933TotalProgramServiceRevenueAmt

Investment Income InvestmentIncomeGrp

FieldValueIRS element (for citing)
Total Revenue Column$27,592TotalRevenueColumnAmt
Exclusion$27,592ExclusionAmt

Royalties Revenue RoyaltiesRevenueGrp

FieldValueIRS element (for citing)
Total Revenue Column$43,904TotalRevenueColumnAmt
Exclusion$43,904ExclusionAmt

Other Revenue Misc OtherRevenueMiscGrp

FieldValueIRS element (for citing)
DescSETTLEMENT INCOMEDesc
Business900099BusinessCd
Total Revenue Column$45,000TotalRevenueColumnAmt
Exclusion$45,000ExclusionAmt
FieldValueIRS element (for citing)
Other Revenue Total$45,000OtherRevenueTotalAmt

Total Revenue TotalRevenueGrp

FieldValueIRS element (for citing)
Total Revenue Column$6,821,429TotalRevenueColumnAmt
Related Or Exempt Func Income$6,704,933RelatedOrExemptFuncIncomeAmt
Unrelated Business Revenue$0UnrelatedBusinessRevenueAmt
Exclusion$116,496ExclusionAmt

Comp Current Ofcr Directors CompCurrentOfcrDirectorsGrp

FieldValueIRS element (for citing)
Total$284,883TotalAmt
Management And General$284,883ManagementAndGeneralAmt

Other Salaries And Wages OtherSalariesAndWagesGrp

FieldValueIRS element (for citing)
Total$1,384,657TotalAmt
Management And General$1,384,657ManagementAndGeneralAmt

Pension Plan Contributions PensionPlanContributionsGrp

FieldValueIRS element (for citing)
Total$100,398TotalAmt
Management And General$100,398ManagementAndGeneralAmt

Other Employee Benefits OtherEmployeeBenefitsGrp

FieldValueIRS element (for citing)
Total$176,467TotalAmt
Management And General$176,467ManagementAndGeneralAmt

Payroll Taxes PayrollTaxesGrp

FieldValueIRS element (for citing)
Total$108,693TotalAmt
Management And General$108,693ManagementAndGeneralAmt

Fees For Services Legal FeesForServicesLegalGrp

FieldValueIRS element (for citing)
Total$117,493TotalAmt
Program Services$117,493ProgramServicesAmt

Fees For Services Accounting FeesForServicesAccountingGrp

FieldValueIRS element (for citing)
Total$37,134TotalAmt
Program Services$21,250ProgramServicesAmt
Management And General$15,884ManagementAndGeneralAmt

Fees For Services Lobbying FeesForServicesLobbyingGrp

FieldValueIRS element (for citing)
Total$74,599TotalAmt
Program Services$74,599ProgramServicesAmt

Fees For Services Other FeesForServicesOtherGrp

FieldValueIRS element (for citing)
Total$135,518TotalAmt
Program Services$135,518ProgramServicesAmt

Office Expenses OfficeExpensesGrp

FieldValueIRS element (for citing)
Total$1,390TotalAmt
Program Services$1,390ProgramServicesAmt

Information Technology InformationTechnologyGrp

FieldValueIRS element (for citing)
Total$4,830TotalAmt
Management And General$4,830ManagementAndGeneralAmt

Occupancy OccupancyGrp

FieldValueIRS element (for citing)
Total$379,828TotalAmt
Management And General$379,828ManagementAndGeneralAmt

Travel TravelGrp

FieldValueIRS element (for citing)
Total$1,544,013TotalAmt
Program Services$1,292,435ProgramServicesAmt
Management And General$251,578ManagementAndGeneralAmt

Conferences Meetings ConferencesMeetingsGrp

FieldValueIRS element (for citing)
Total$699,617TotalAmt
Program Services$699,617ProgramServicesAmt

Depreciation Depletion DepreciationDepletionGrp

FieldValueIRS element (for citing)
Total$115,825TotalAmt
Program Services$103,389ProgramServicesAmt
Management And General$12,436ManagementAndGeneralAmt

Insurance InsuranceGrp

FieldValueIRS element (for citing)
Total$19,175TotalAmt
Program Services$11,406ProgramServicesAmt
Management And General$7,769ManagementAndGeneralAmt

Other Expenses OtherExpensesGrp (4 entries)

DescDescTotalTotalAmtManagement And GeneralManagementAndGeneralAmtProgram ServicesProgramServicesAmt
RECRUITING$128,073$128,073
MISCELLANEOUS$105,363$78,878$26,485
CONSULTING$90,711$90,711
PRINTING AND PUBLICATIO$83,127$77,121$6,006

All Other Expenses AllOtherExpensesGrp

FieldValueIRS element (for citing)
Total$77,591TotalAmt
Management And General$77,591ManagementAndGeneralAmt

Total Functional Expenses TotalFunctionalExpensesGrp

FieldValueIRS element (for citing)
Total$5,669,385TotalAmt
Program Services$2,580,299ProgramServicesAmt
Management And General$3,089,086ManagementAndGeneralAmt
Fundraising$0FundraisingAmt

Savings And Temp Cash Invst SavingsAndTempCashInvstGrp

FieldValueIRS element (for citing)
BOY$400,718BOYAmt
EOY$603,745EOYAmt

Accounts Receivable AccountsReceivableGrp

FieldValueIRS element (for citing)
BOY$378,624BOYAmt
EOY$378,341EOYAmt

Prepaid Expenses Defrd Charges PrepaidExpensesDefrdChargesGrp

FieldValueIRS element (for citing)
BOY$79,829BOYAmt
EOY$77,820EOYAmt
FieldValueIRS element (for citing)
Land Bldg Equip Cost Or Other Bss$1,065,434LandBldgEquipCostOrOtherBssAmt
Land Bldg Equip Accum Deprec$798,666LandBldgEquipAccumDeprecAmt

Land Bldg Equip Basis Net LandBldgEquipBasisNetGrp

FieldValueIRS element (for citing)
BOY$178,804BOYAmt
EOY$266,768EOYAmt

Investments Pub Traded Sec InvestmentsPubTradedSecGrp

FieldValueIRS element (for citing)
BOY$6,498,930BOYAmt
EOY$7,445,223EOYAmt

Other Assets Total OtherAssetsTotalGrp

FieldValueIRS element (for citing)
BOY$24,466BOYAmt
EOY$41,312EOYAmt

Total Assets TotalAssetsGrp

FieldValueIRS element (for citing)
BOY$7,561,371BOYAmt
EOY$8,813,209EOYAmt

Accounts Payable Accr Expnss AccountsPayableAccrExpnssGrp

FieldValueIRS element (for citing)
BOY$428,597BOYAmt
EOY$528,391EOYAmt

Total Liabilities TotalLiabilitiesGrp

FieldValueIRS element (for citing)
BOY$428,597BOYAmt
EOY$528,391EOYAmt
FieldValueIRS element (for citing)
Organization Follows SFAS117Yes (X)OrganizationFollowsSFAS117Ind

Unrestricted Net Assets UnrestrictedNetAssetsGrp

FieldValueIRS element (for citing)
BOY$7,132,774BOYAmt
EOY$8,284,818EOYAmt

Total Net Assets Fund Balance TotalNetAssetsFundBalanceGrp

FieldValueIRS element (for citing)
BOY$7,132,774BOYAmt
EOY$8,284,818EOYAmt

Tot Liab Net Assets Fund Balance TotLiabNetAssetsFundBalanceGrp

FieldValueIRS element (for citing)
BOY$7,561,371BOYAmt
EOY$8,813,209EOYAmt
FieldValueIRS element (for citing)
Reconcilation Revenue Expnss$1,152,044ReconcilationRevenueExpnssAmt
Other Changes In Net Assets$0OtherChangesInNetAssetsAmt
Info In Schedule O Part XIIYes (X)InfoInScheduleOPartXIIInd
Method Of Accounting AccrualYes (X)MethodOfAccountingAccrualInd
Accountant Compile Or Review0AccountantCompileOrReviewInd
FS AuditedYes (1)FSAuditedInd

FS Audited Basis FSAuditedBasisGrp

FieldValueIRS element (for citing)
Separate Basis Fincl StmtYes (X)SeparateBasisFinclStmtInd
FieldValueIRS element (for citing)
Audit CommitteeYes (1)AuditCommitteeInd
Federal Grant Audit Required0FederalGrantAuditRequiredInd

Schedule A IRS990ScheduleA

FieldValueIRS element (for citing)
Publicly Supported Org509a2Yes (X)PubliclySupportedOrg509a2Ind

Gifts Grants Contris Rcvd509 GiftsGrantsContrisRcvd509Grp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$120,600CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$120,600CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$120,600CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$120,600CurrentTaxYearMinus1YearAmt
Current Tax Year$120,600CurrentTaxYearAmt
Total$603,000TotalAmt

Gross Receipts Admissions GrossReceiptsAdmissionsGrp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$4,272,585CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$4,023,691CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$5,187,781CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$5,926,595CurrentTaxYearMinus1YearAmt
Current Tax Year$6,584,333CurrentTaxYearAmt
Total$25,994,985TotalAmt

Total509 Total509Grp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$4,393,185CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$4,144,291CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$5,308,381CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$6,047,195CurrentTaxYearMinus1YearAmt
Current Tax Year$6,704,933CurrentTaxYearAmt
Total$26,597,985TotalAmt

Amounts Rcvd Dsqlfy Person AmountsRcvdDsqlfyPersonGrp

FieldValueIRS element (for citing)
Total$0TotalAmt

Substantial Contributors Amt SubstantialContributorsAmtGrp

FieldValueIRS element (for citing)
Total$0TotalAmt

Subst And Dsqlfy Prsns Tot SubstAndDsqlfyPrsnsTotGrp

FieldValueIRS element (for citing)
Total$0TotalAmt
FieldValueIRS element (for citing)
Public Support Total509$26,597,985PublicSupportTotal509Amt

Gross Investment Income509 GrossInvestmentIncome509Grp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$96,919CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$81,316CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$68,650CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$53,394CurrentTaxYearMinus1YearAmt
Current Tax Year$71,496CurrentTaxYearAmt
Total$371,775TotalAmt

Investment Income And UBTI InvestmentIncomeAndUBTIGrp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$96,919CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$81,316CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$68,650CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$53,394CurrentTaxYearMinus1YearAmt
Current Tax Year$71,496CurrentTaxYearAmt
Total$371,775TotalAmt

Other Income509 OtherIncome509Grp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$69,000CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$49,458CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$420,502CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$11,800CurrentTaxYearMinus1YearAmt
Current Tax Year$45,000CurrentTaxYearAmt
Total$595,760TotalAmt

Total Support Calendar Year TotalSupportCalendarYearGrp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$4,559,104CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$4,275,065CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$5,797,533CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$6,112,389CurrentTaxYearMinus1YearAmt
Current Tax Year$6,821,429CurrentTaxYearAmt
Total$27,565,520TotalAmt
FieldValueIRS element (for citing)
Public Support CY5090.96490PublicSupportCY509Pct
Public Support PY5090.95760PublicSupportPY509Pct
Investment Income CY0.01350InvestmentIncomeCYPct
Investment Income PY0.01650InvestmentIncomePYPct
Thirty Thr Pct Suprt Tests CY509Yes (X)ThirtyThrPctSuprtTestsCY509Ind

Form990 Schedule A Part VI Form990ScheduleAPartVIGrp

FieldValueIRS element (for citing)
Form And Line ReferenceSCHEDULE A, PART III, LINE 12, EXPLANATION OF OTHER INCOME:FormAndLineReferenceDesc
ExplanationSETTLEMENT INCOME - 2011 AMOUNT: $ 69,000. 2012 AMOUNT: $ 49,458. 2013 AMOUNT: $ 420,502. 2014 AMOUNT: $ 11,800. 2015 AMOUNT: $ 45,000.ExplanationTxt

Schedule C IRS990ScheduleC

FieldValueIRS element (for citing)
VolunteersYes (1)VolunteersInd
Paid Staff Or ManagementYes (1)PaidStaffOrManagementInd
Media Advertisements0MediaAdvertisementsInd
Mailings MembersYes (1)MailingsMembersInd
Mailings Members$7,058MailingsMembersAmt
Publications Or BroadcastYes (1)PublicationsOrBroadcastInd
Publications Or Broadcast$5,196PublicationsOrBroadcastAmt
Grants Other Organizations0GrantsOtherOrganizationsInd
Direct Contact LegislatorsYes (1)DirectContactLegislatorsInd
Direct Contact Legislators$111,755DirectContactLegislatorsAmt
Rallies DemonstrationsYes (1)RalliesDemonstrationsInd
Rallies Demonstrations$18,414RalliesDemonstrationsAmt
Other Activities0OtherActivitiesInd
Total Lobbying Expenditures$142,423TotalLobbyingExpendituresAmt
Not Described Section501c30NotDescribedSection501c3Ind

Supplemental Information Detail SupplementalInformationDetail

FieldValueIRS element (for citing)
Form And Line ReferencePART II-B, LINE 1:FormAndLineReferenceDesc
ExplanationACTIVITIES NASAA HAS ENGAGED IN TO INFLUENCE FEDERAL LEGISLATION INCLUDE: CONGRESSIONAL MEETINGS (INCLUDING NASAA POLICY STAFF AND/OR CONSULTANT AND/OR NASAA MEMBERS); NASAA CORRESPONDENCE TO CONGRESS REGARDING LEGISLATIVE MATTERS; NASAA POLICY STAFF INTERACTIONS WITH CONGRESSIONAL STAFF VIA EMAIL AND TELEPHONE; AND WORK ON AND PUBLIC RELEASE OF THE NASAA FEDERAL LEGISLATIVE AGENDA. NASAA POLICY STAFF HAS ALSO COMMUNICATED ON AN AD HOC BASIS WITH STATE LEGISLATORS AND LEGISLATIVE STAFF ON MATTERS OF STATE LEGISLATION. NASAA HIGHLIGHTS BOTH ITS FEDERAL AND STATE-LEVEL POLICY ADVOCACY THROUGH PRESENTATIONS (INCLUDING A FOCUSED PRESS RELEASE FOR THE FEDERAL LEGISLATIVE AGENDA), AND PUBLICATIONS SUCH AS THE NASAA NEWSLETTER.ExplanationTxt

Schedule D IRS990ScheduleD

Equipment EquipmentGrp

FieldValueIRS element (for citing)
Other Cost Or Other Basis$271,305OtherCostOrOtherBasisAmt
Depreciation$251,690DepreciationAmt
Book Value$19,615BookValueAmt

Other Land Buildings OtherLandBuildingsGrp

FieldValueIRS element (for citing)
Other Cost Or Other Basis$794,129OtherCostOrOtherBasisAmt
Depreciation$546,976DepreciationAmt
Book Value$247,153BookValueAmt
FieldValueIRS element (for citing)
Total Book Value Land Buildings$266,768TotalBookValueLandBuildingsAmt
Total Rev Etc Audited Fincl Stmt$6,821,429TotalRevEtcAuditedFinclStmtAmt
Revenue Not Reported$0RevenueNotReportedAmt
Revenue Subtotal$6,821,429RevenueSubtotalAmt
Revenue Not Reported Fincl Stmt$0RevenueNotReportedFinclStmtAmt
Total Revenue Per Form990$6,821,429TotalRevenuePerForm990Amt
Tot Expns Etc Audited Fincl Stmt$5,669,385TotExpnsEtcAuditedFinclStmtAmt
Expenses Not Reported$0ExpensesNotReportedAmt
Expenses Subtotal$5,669,385ExpensesSubtotalAmt
Expenses Not Rpt Fincl Stmt$0ExpensesNotRptFinclStmtAmt
Total Expenses Per Form990$5,669,385TotalExpensesPerForm990Amt

Schedule J IRS990ScheduleJ

FieldValueIRS element (for citing)
Independent ConsultantYes (X)IndependentConsultantInd
Written Employment ContractYes (X)WrittenEmploymentContractInd
Compensation SurveyYes (X)CompensationSurveyInd
Board Or Committee ApprovalYes (X)BoardOrCommitteeApprovalInd
Severance Payment0SeverancePaymentInd
Supplemental Nonqual Rtr Plan0SupplementalNonqualRtrPlanInd
Equity Based Comp Arrngm0EquityBasedCompArrngmInd
Comp Based On Revenue Of Flng Org0CompBasedOnRevenueOfFlngOrgInd
Comp Bsd On Rev Related Orgs0CompBsdOnRevRelatedOrgsInd
Comp Bsd Net Earns Flng Org0CompBsdNetEarnsFlngOrgInd
Comp Bsd Net Earns Rltd Orgs0CompBsdNetEarnsRltdOrgsInd
Any Non Fixed Payments0AnyNonFixedPaymentsInd
Initial Contract Exception0InitialContractExceptionInd

Rltd Org Officer Trst Key Empl RltdOrgOfficerTrstKeyEmplGrp (3 entries)

TitleTitleTxtBase Compensation Filing OrgBaseCompensationFilingOrgAmtCompensation Based On Rltd OrgsCompensationBasedOnRltdOrgsAmtBonus Filing OrganizationBonusFilingOrganizationAmountBonus Related OrganizationsBonusRelatedOrganizationsAmtOther Compensation Filing OrgOtherCompensationFilingOrgAmtOther Compensation Rltd OrgsOtherCompensationRltdOrgsAmtDeferred Compensation Flng OrgDeferredCompensationFlngOrgAmtDeferred Comp Rltd OrgsDeferredCompRltdOrgsAmtNontaxable Benefits Filing OrgNontaxableBenefitsFilingOrgAmtNontaxable Benefits Rltd OrgsNontaxableBenefitsRltdOrgsAmtTotal Compensation Filing OrgTotalCompensationFilingOrgAmtTotal Compensation Rltd OrgsTotalCompensationRltdOrgsAmtComp Report Prior990 Filing OrgCompReportPrior990FilingOrgAmtComp Report Prior990 Rltd OrgsCompReportPrior990RltdOrgsAmt
JOSEPH BRADY
EXECUTIVE DIRECTOR$229,215$0$0$0$0$0$26,123$0$12,928$0$268,266$0$0$0
ROBERT WEBSTER
COMMUNICATIONS DIRECTOR$155,959$0$0$0$0$0$15,517$0$19,394$0$190,870$0$0$0
MARK MCLAUGHLIN
DIRECTOR OF FINANCE AND OP$134,675$0$0$0$0$0$12,559$0$8,818$0$156,052$0$0$0

Schedule O IRS990ScheduleO

Supplemental Information Detail SupplementalInformationDetail (7 entries)

Form And Line ReferenceFormAndLineReferenceDescExplanationExplanationTxt
FORM 990, PART VI, SECTION A, LINE 6NASAA IS A PROFESSIONAL ASSOCIATION OF SECURITIES ADMINISTRATORS WITH 67 MEMBERS.
FORM 990, PART VI, SECTION A, LINE 7ANASAA'S DIRECTORS ARE ELECTED BY A VOTE OF THE FULL MEMBERSHIP.
FORM 990, PART VI, SECTION A, LINE 7BPROPOSED 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 11THE 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 15ATHE EXECUTIVE DIRECTOR'S SALARY IS DETERMINED BY THE CORPORATE OFFICE REVIEW COMMITTEE, COMPRISED OF THE PRESIDENT, PRESIDENT-ELECT, THE IMMEDIATE PAST PRESIDENT, AND THE TREASURER. SEE SCHEDULE J FOR ADDITIONAL DETAILS.
FORM 990, PART VI, SECTION C, LINE 19NO DOCUMENTS AVAILABLE TO THE PUBLIC.
FORM 990, PART XII, LINE 2C:THE ORGANIZATION HAS A COMMITTEE THAT ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE ANNUAL FINANCIAL AUDIT. THIS HAS NOT CHANGED FROM PRIOR YEARS.

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