PRESIDENT AND CEO

2013-08-09T12:17:12-05:00 2012-12-31 135381590 BDO USA LLP 7101 WISCONSIN AVE SUITE 800 BETHESDA MD 208144827 990 2012-01-01 522241644 FINANCIAL SERVICES FORUM FINA 2024578765 601 13TH STRET NW NO 750 S WASHINGTON DC 20005 ROBERT S NICHOLS PRESIDENT AND CEO 2024578765 2013-08-09 1 JOYCE M UNDERWOOD P00022361 3016544900 2012 2016-02-24 21:20:13Z ROBERT S NICHOLS 601 13TH STRET NW NO 750 S WASHINGTON DC 20005 4005715 0 X WWW.FINANCIALSERVICESFORUM.ORG X 2000 DC PROMOTING OPEN AND COMPETITIVE FINANCIAL MARKETS. 18 18 9 20 0 0 0 0 4000000 4000000 7045 5532 136 183 4007181 4005715 0 0 0 0 2389668 2685442 0 0 0 1451867 1556147 3841535 4241589 165646 -235874 6889238 6307555 2853750 2507941 4035488 3799614 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 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 9 0 1 9 1 0 0 0 0 0 0 X 18 18 0 0 0 0 1 0 1 1 1 1 0 0 0 0 0 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 CREDIT SUISSE 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 US BANCORP MEMBER 0.00 X 0 0 0 WELLS FARGO MEMBER 0.00 X 0 0 0 ROBERT S NICHOLS PRESIDENT & CEO 40.00 X 994479 0 29426 JOHN DEARIE SR VP FOR POLICY & RESEARCH 40.00 X 518479 0 30204 TRISHA HOROWITZ EXECUTIVE MANAGEMENT 40.00 X 192125 0 27660 COURTNEY GEDULDIG MANAGING DIR/CHIEF COUNSEL/HEAD FGR 40.00 X 468227 0 29182 2173310 0 116472 4 0 1 0 HILL & KNOWLTON STRATEGIES PO BOX 951732 DALLAS TX 753951732 CONSULTING 210000 ELMENDORF RYAN 900 7TH STREET NW SUITE 750 WASHINGTON DC 20001 CONSULTING 180000 THE BENNETT CONSULTING GROUP LLC 2139 HAYCOCK ROAD FALLS CHURCH VA 22043 CONSULTING 180000 3 MEMBERSHIP DUES 900099 4000000 4000000 4000000 5532 5532 OTHER INCOME 900099 183 183 183 4005715 4000000 0 5715 1023905 1403805 85531 97127 75074 26123 630000 31098 20000 104016 45067 334323 151032 70392 20896 7419 DUES AND SUBSCRIPTIONS 115781 4241589 4351893 3980516 2358470 2134683 8536 2462 34977 299985 145068 170339 154917 6889238 6307555 1750 4998 2800000 2400000 52000 102943 2853750 2507941 X 0 0 0 0 4035488 3799614 4035488 3799614 6889238 6307555 -235874 0 X 0 0 0 0 0 1 4000000 1613553 719121 2332674 1880000 452674 206357 71654 134703 26053 21491 4562 67575 51923 15652 154917 LEASEHOLD IMPROVEMENT LIABILITY 34646 RENT LIABILITY 68297 102943 X X 0 0 0 ROBERT S NICHOLS PRESIDENT & CEO 744479 0 250000 0 0 0 8500 0 20926 0 1023905 0 0 0 JOHN DEARIE SR VP FOR POLICY & RESEARCH 443479 0 75000 0 0 0 8854 0 21350 0 548683 0 0 0 TRISHA HOROWITZ EXECUTIVE MANAGEMENT 167125 0 25000 0 0 0 6900 0 20760 0 219785 0 0 0 COURTNEY GEDULDIG MANAGING DIR/CHIEF COUNSEL/HEAD FGR 405977 0 62250 0 0 0 8500 0 20682 0 497409 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. CONTACT ADDRESSES FOR OFFICERS, DIRECTORS, ETC FORM 990, PART VII BANK OF NY MELLON.