2014-11-13T14:23:19-06:00 2013-12-31 135381590 BDO USA LLP 7101 WISCONSIN AVE SUITE 800 BETHESDA MD 208144827 990 2013-01-01 522241644 FINANCIAL SERVICES FORUM FINA 2024578765 601 13TH STRET NW NO 750 S WASHINGTON DC 20005 ROBERT S NICHOLS PRESIDENT AND CEO 2024578765 2014-11-13 1 JOYCE M UNDERWOOD P00022361 3016544900 2013 2015-11-30 17:44:51Z ROBERT S NICHOLS 601 13TH STRET NW NO 750 S WASHINGTON DC 20005 6033702 0 X WWW.FINANCIALSERVICESFORUM.ORG X 2000 DC PROMOTING OPEN AND COMPETITIVE FINANCIAL MARKETS. 19 19 8 21 0 0 0 0 4000000 6030345 5532 3357 183 0 4005715 6033702 0 1521699 0 0 2685442 2747093 0 0 0 1556147 1986726 4241589 6255518 -235874 -221816 6307555 6993628 2507941 3415830 3799614 3577798 PROMOTING OPEN AND COMPETITIVE FINANCIAL MARKETS. 0 0 EDUCATE THE PUBLIC AND GLOBAL OPINION LEADERS ABOUT THE IMPORTANCE OF ROBUST CAPITAL MARKETS AND INDUSTRY'S CONTRIBUTION TO IMPROVING LIVES. INFLUENCE THE NATIONAL AND INTERNATIONAL REGULATORY DIALOGUE AND ENCOURAGE A COMPETITIVE GLOBAL MARKETPLACE. PROMOTE TRADE AND THE FREE FLOW OF CAPITAL IN ORDER TO ENHANCE GLOBAL PROSPERITY. 0 0 0 1 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 9 0 1 8 1 0 0 0 0 0 0 X 19 19 0 0 0 0 1 0 1 1 1 1 0 0 0 0 1 1 1 0 DC X TRISH HOROWITZ 2024578765 601 13TH STRET NW NO 750 S WASHINGTON DC 20005 AMERICAN INT'L GROUPINC MEMBER 0.00 X 0 0 0 ALLSTATE INSURANCE MEMBER 0.00 X 0 0 0 BANK OF AMERICA CORP MEMBER/VICE-CHAIRMAN 0.00 X 0 0 0 BANK OF NY MELLON MEMBER 0.00 X 0 0 0 CITIGROUP MEMBER 0.00 X 0 0 0 DEUTSCHE BANK AG MEMBER 0.00 X 0 0 0 EDWARD JONES MEMBER 0.00 X 0 0 0 FIDELITY INVESTMENTS MEMBER 0.00 X 0 0 0 GE CAPITAL MEMBER 0.00 X 0 0 0 GOLDMAN SACHS GROUPINC MEMBER/CHAIRMAN 0.00 X 0 0 0 HSBC HOLDINGS PLC MEMBER 0.00 X 0 0 0 JP MORGAN CHASE MEMBER 0.00 X 0 0 0 METLIFE INC MEMBER 0.00 X 0 0 0 MORGAN STANLEY MEMBER 0.00 X 0 0 0 PRUDENTIAL FINANCIALINC MEMBER 0.00 X 0 0 0 STATE STREET CORPORATION MEMBER 0.00 X 0 0 0 UBS AG MEMBER 0.00 X 0 0 0 WELLS FARGO MEMBER 0.00 X 0 0 0 CREDIT SUISSE MEMBER 0.00 X 0 0 0 ROBERT S NICHOLS PRESIDENT & CEO 40.00 X 1095945 0 56433 JOHN DEARIE SR VP FOR POLICY & RESEARC 40.00 X 521715 0 55291 TRISHA HOROWITZ EXECUTIVE MANAGEMENT 40.00 X 197404 0 42738 LAENA FALLON VP OF COMMUNICATIONS 40.00 X 235293 0 15341 NATHANIEL HOOPES VP OF GOV'T RELATIONS & PUBLIC POLICY 40.00 X 162100 0 6985 2212457 0 176788 5 0 1 0 BENENSON STRATEGY GROUP 1901 PENNSYLVANIA AVE NW SUITE 100 WASHINGTON DC 20006 CONSULTING 273459 ELMENDORF RYAN 900 7TH STREET NW SUITE 750 WASHINGTON DC 20001 CONSULTING 180000 THE BENNETT CONSULTING GROUP LLC 101 CONSTITUTION AVE NW SUITE 525 WASHINGTON DC 20001 CONSULTING 180000 HAMILTON PLACE STRATEGIES 805 15TH ST NW 700 WASHINGTON DC 20005 CONSULTING 180000 HILL & KNOWLTON STRATEGIES 607 14TH STREET NW SUITE 300 WASHINGTON DC 20005 CONSULTING 167400 5 MEMBERSHIP DUES 900099 6030345 6030345 6030345 3357 3357 6033702 6030345 0 3357 X 1521699 1152378 1340931 90216 85626 77942 28016 31140 420000 739745 135432 60097 299645 85262 86178 20312 7740 DUES AND SUBSCRIPTIONS 73159 6255518 3980516 4896980 2134683 1908885 2462 11458 34977 38710 295029 157434 154917 137595 6307555 6993628 4998 18665 2400000 3319655 102943 77510 2507941 3415830 X 0 0 0 0 3799614 3577798 3799614 3577798 6307555 6993628 -221816 0 X 0 0 0 0 0 1 3800000 1378431 452674 1831105 1786000 45105 206357 85411 120946 19710 15548 4162 68962 56475 12487 137595 LEASEHOLD IMPROVEMENT LIABILITY 23986 RENT LIABILITY 53524 77510 1 BROOKINGS INSTITUTION 1175 MASSACHUSETTS AVE NE WASHINGTON DC 20036 530196577 501(C)(3) 250000 GENERAL SUPPORT THE BIPARTISAN POLICY CENTER 1225 EYE STREET NW SUITE 1000 WASHINGTON DC 20005 731628382 501(C)(3) 250000 GENERAL SUPPORT AMERICAN ACTION FORUM 1747 PENNSYLVANIA AVE NW 5TH FLOOR WASHINGTON DC 20006 270567765 501(C)(3) 500000 GENERAL SUPPORT HERITAGE ACTION FOR AMERICA 214 MASSACHUSETTS AVE NE SUITE 400 WASHINGTON DC 20002 272244700 501(C)(4) 500000 GENERAL SUPPORT 3 1 PART I, LINE 2: PRIOR TO MAKING A GRANT, THE ORGANIZATION CONFIRMS, THAT THE GRANTEE IS A TAX EXEMPT ORGANIZATION UNDER SECTION 501C OF THE IRC AND ENGAGES IN ACTIVITIES THAT FURTHER THE ORGANIZATION EXEMPT PURPOSES. AFTER A GRANT IS MADE, THE ORGANIZATION REGULARLY COMMUNICATES WITH A GRANTEE TO DISCUSS THEIR PROGRAM SERVICE ACCOMPLISHMENTS. X X 0 0 0 ROBERT S NICHOLS PRESIDENT & CEO 745945 0 350000 0 0 0 33250 0 23183 0 1152378 0 0 0 JOHN DEARIE SR VP FOR POLICY & RESEARC 446715 0 75000 0 0 0 32896 0 22395 0 577006 0 0 0 TRISHA HOROWITZ EXECUTIVE MANAGEMENT 172404 0 25000 0 0 0 20740 0 21998 0 240142 0 0 0 LAENA FALLON VP OF COMMUNICATIONS 186043 0 49250 0 0 0 4800 0 10541 0 250634 0 0 0 NATHANIEL HOOPES VP OF GOV'T RELATIONS & PUBLIC POLIC 162100 0 0 0 0 0 0 0 6985 0 169085 0 0 0 FORM 990, PART VI, SECTION A, LINE 6 MEMBERS ARE CEOS OF LARGE FINANCIAL INSTITUTIONS DOING BUSINESS IN THE UNITED STATES. FORM 990, PART VI, SECTION A, LINE 7B THE ENTIRE MEMBERSHIP ACTS AS THE GOVERNING BODY AND MAKES MAJOR DECISIONS COLLABORATIVELY. FORM 990, PART VI, SECTION B, LINE 11 THE FORUM'S FORM 990 UNDERGOES A NUMBER OF INTERNAL AND EXTERNAL REVIEWS BEFORE IT IS FILED WITH THE IRS. THE RETURN IS PREPARED BY THE FORUM'S EXTERNAL TAX ADVISORS, BDO USA, LLP AND IS REVIEWED BY THE FORUM'S PRESIDENT AND OFFICE ADMINISTRATOR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION OF THE FORUM'S PRESIDENT IS PROPOSED BY THE CHAIRMAN AND APPROVED BY THE MEMBERSHIP IN CONJUNCTION OF A REVIEW OF 990S OF OTHER ORGANIZATIONS. COMPARABILITY DATA IS USED IN EVALUATING COMPENSATION OF FORUM EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 THESE DOCUMENTS ARE NOT MADE AVAILABLE TO THE PUBLIC. FORM 990, PART VII BANK OF NY MELLON. FORM 990, PART IX, LINE 11G CONSULTING 720,859. PAYROLL AND BENEFIT SERVICES 18,886.