2016-11-10T06:56:08-06:00 2015-12-31 521073331 DEMBO JONES PC 6010 EXECUTIVE BLVD SUITE 900 ROCKVILLE MD 20852 990 2015-01-01 470730228 NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC NORT 2027370900 750 FIRST STREET NE NO 1140 WASHINGTON DC 20002 JOSEPH BRADY EXECUTIVE DIRECTOR 2027370900 2016-11-08 1 ANDREW B MITCHELL P00486994 3017705100 2015 2017-02-10 21:41:12Z JUDITH SHAW 750 FIRST STREET NE NO 1140 WASHINGTON DC 20002 6821429 0 X WWW.NASAA.ORG X 1919 DC NASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, COMMUNICATION, AND COORDINATION. 9 9 20 0 0 0 0 0 6047195 6704933 17304 27592 47890 88904 6112389 6821429 0 0 0 0 2163133 2055098 0 0 0 3131396 3614287 5294529 5669385 817860 1152044 7561371 8813209 428597 528391 7132774 8284818 NASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, COMMUNICATION, AND COORDINATION. 0 0 481240 135550 AN ANNUAL FALL CONFERENCE IS HELD EACH YEAR IN A DIFFERENT CITY TO ATTRACT NORTH AMERICAN PARTICIPANTS IN THE EDUCATIONAL PANELS. 163450 22720 AN 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. 1935609 6546663 OTHER CONFERENCES, PROGRAMS AND ACTIVITIES ARE ORGANIZED THROUGHOUT THE YEAR TO PROVIDE TRAINING AND EDUCATION TO MEMBERS WHO DEAL WITH SECURITIES REGULATION AND ENFORCEMENT MATTERS. 2580299 1 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 22 0 1 20 1 0 0 0 0 0 0 0 0 X 9 9 0 0 0 0 1 1 1 1 1 0 0 1 1 0 0 1 1 1 0 0 X NASAA 2027370900 750 FIRST ST NE 1140 WASHINGTON DC WASHINGTON DC 20002 DIANA FOLEY DIRECTOR 8.00 X 0 0 0 JUDITH SHAW PRESIDENT/DIRECTOR 8.00 X X 0 0 0 WILLIAM BEATTY PAST PRESIDENT/DIRECTOR 8.00 X X 0 0 0 MIKE ROTHMAN PRESIDENT ELECT/DIRECTOR 8.00 X X 0 0 0 GERALD ROME SECRETARY/DIRECTOR 8.00 X X 0 0 0 JACK HERSTEIN DIRECTOR 8.00 X 0 0 0 JOSEPH BORG DIRECTOR 8.00 X 0 0 0 JOHN MORGAN DIRECTOR 8.00 X 0 0 0 KATHRYN DANIELS TREASURER/DIRECTOR 8.00 X X 0 0 0 JOSEPH BRADY EXECUTIVE DIRECTOR 40.00 X 229215 0 39051 ROBERT WEBSTER COMMUNICATIONS DIRECTOR 40.00 X 155959 0 34911 MICHAEL CANNING POLICY DIRECTOR 40.00 X 114735 0 25022 MARK MCLAUGHLIN DIRECTOR OF FINANCE AND OP 40.00 X 134675 0 21377 ANNE-VALERIE MIRKO GENERAL COUNSEL 40.00 X 132964 0 14082 ANYA COVERMAN DEP DIR OF POLICY/ASSOC GEN COUNSEL 40.00 X 101685 0 10241 869233 0 144684 6 0 1 0 SOFTWARE CONSULTING SERVICES PO BOX 321269 FLOWOOD MS 39232 SOFTWARE 218966 GLOBAL MEETING PARTNERS 420 APPLE STREET POTTSTOWN PA 19464 MEETING/CONVENTION SERVICES 205454 SPENCER STUART PO BOX 98991 CHICAGO IL 60693 MANAGEMENT RECRUITING 104238 3 EXAM FEES & GUIDES 900099 5776688 5776688 ELECTRONIC FORM D 900099 600900 600900 CONFERENCES 900099 172425 172425 MEMBERSHIP FEES 900099 120600 120600 TRAINING EVENTS 900099 34320 34320 6704933 27592 27592 43904 43904 SETTLEMENT INCOME 900099 45000 45000 45000 6821429 6704933 0 116496 284883 284883 1384657 1384657 100398 100398 176467 176467 108693 108693 117493 117493 37134 21250 15884 74599 74599 135518 135518 1390 1390 4830 4830 379828 379828 1544013 1292435 251578 699617 699617 115825 103389 12436 19175 11406 7769 RECRUITING 128073 128073 MISCELLANEOUS 105363 26485 78878 CONSULTING 90711 90711 PRINTING AND PUBLICATIO 83127 6006 77121 77591 77591 5669385 2580299 3089086 0 400718 603745 378624 378341 79829 77820 1065434 798666 178804 266768 6498930 7445223 24466 41312 7561371 8813209 428597 528391 428597 528391 X 7132774 8284818 7132774 8284818 7561371 8813209 1152044 0 X X 0 1 X 1 0 X 120600 120600 120600 120600 120600 603000 4272585 4023691 5187781 5926595 6584333 25994985 4393185 4144291 5308381 6047195 6704933 26597985 0 0 0 26597985 96919 81316 68650 53394 71496 371775 96919 81316 68650 53394 71496 371775 69000 49458 420502 11800 45000 595760 4559104 4275065 5797533 6112389 6821429 27565520 0.96490 0.95760 0.01350 0.01650 X SCHEDULE A, PART III, LINE 12, EXPLANATION OF OTHER INCOME: SETTLEMENT INCOME - 2011 AMOUNT: $ 69,000. 2012 AMOUNT: $ 49,458. 2013 AMOUNT: $ 420,502. 2014 AMOUNT: $ 11,800. 2015 AMOUNT: $ 45,000. 1 1 0 1 7058 1 5196 0 1 111755 1 18414 0 142423 0 PART II-B, LINE 1: ACTIVITIES 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. 271305 251690 19615 794129 546976 247153 266768 6821429 0 6821429 0 6821429 5669385 0 5669385 0 5669385 X X X X 0 0 0 0 0 0 0 0 0 JOSEPH BRADY EXECUTIVE DIRECTOR 229215 0 0 0 0 0 26123 0 12928 0 268266 0 0 0 ROBERT WEBSTER COMMUNICATIONS DIRECTOR 155959 0 0 0 0 0 15517 0 19394 0 190870 0 0 0 MARK MCLAUGHLIN DIRECTOR OF FINANCE AND OP 134675 0 0 0 0 0 12559 0 8818 0 156052 0 0 0 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 11 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 15A THE 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 19 NO 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.