FINRA INVESTOR EDUCATION FOUNDATION: Form 990, tax year 2011
View the entire original 990 at ProPublica ↗
- Organization
- FINRA INVESTOR EDUCATION FOUNDATION (EIN 20-0863779)
- Tax period
- 2011-01-01 to 2011-12-31
- Filed
- 2012-11-12
- IRS object ID
- 201203179349302975
- Schema version
- 2011v1.3
- 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
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2012-11-12T20:16:33-06:00 | Timestamp |
| Tax Period End Date | 2011-12-31 | TaxPeriodEndDate |
Preparer Firm PreparerFirm
Preparer Firm Business Name PreparerFirmBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | ERNST & YOUNG US LLP | BusinessNameLine1 |
Preparer Firm US Address PreparerFirmUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | TWO NORTH CENTRAL AVENUE STE 2300 | AddressLine1 |
| City | PHOENIX | City |
| State | AZ | State |
| ZIP Code | 85004 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990 | ReturnType |
| Tax Period Begin Date | 2011-01-01 | TaxPeriodBeginDate |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 200863779 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | FINRA INVESTOR EDUCATION FOUNDATION | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| In Care Of Name | % MARCIA E ASQUITH | InCareOfName |
| Name Control | FINR | NameControl |
| Phone | 2027288949 | Phone |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1735 K STREET NW | AddressLine1 |
| City | WASHINGTON | City |
| State | DC | State |
| ZIP Code | 200061506 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | ROB RENNER | Name |
| Title | VP/ASSISTANT CONTROLLER | Title |
| Date Signed | 2012-11-12 | DateSigned |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 6023223000 | Phone |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2011 | TaxYear |
| Build TS | 2016-02-24 21:20:13Z | BuildTS |
Form 990 IRS990
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Of Principal Officer Person | GERALDINE M WALSH | NameOfPrincipalOfficerPerson |
Address Principal Officer US AddressPrincipalOfficerUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1735 K STREET NW | AddressLine1 |
| City | WASHINGTON | City |
| State | DC | State |
| ZIP Code | 200061506 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | 9082281 | GrossReceipts |
| Group Return For Affiliates | false | GroupReturnForAffiliates |
| Organization501c | X | Organization501c |
| Web Site | WWW.FINRAFOUNDATION.ORG | WebSite |
| Type Of Organization Corporation | X | TypeOfOrganizationCorporation |
| Year Formation | 2004 | YearFormation |
| State Legal Domicile | DE | StateLegalDomicile |
| Activity Or Mission Description | THE MISSION OF THE FINRA INVESTOR EDUCATION FOUNDATION IS TO PROVIDE UNDERSERVED AMERICANS WITH THE KNOWLEDGE, SKILLS AND TOOLS NECESSARY FOR FINANCIAL SUCCESS THROUGHOUT LIFE. | ActivityOrMissionDescription |
| Nbr Voting Members Governing Body | 6 | NbrVotingMembersGoverningBody |
| Nbr Independent Voting Members | 5 | NbrIndependentVotingMembers |
| Total Nbr Employees | 0 | TotalNbrEmployees |
| Total Nbr Volunteers | 5 | TotalNbrVolunteers |
| Total Gross UBI | 0 | TotalGrossUBI |
| Net Unrelated Business Txbl Income | 0 | NetUnrelatedBusinessTxblIncome |
| Contributions Grants Prior Year | 0 | ContributionsGrantsPriorYear |
| Contributions Grants Current Year | 1500000 | ContributionsGrantsCurrentYear |
| Program Service Revenue Prior Year | 0 | ProgramServiceRevenuePriorYear |
| Program Service Revenue CY | 0 | ProgramServiceRevenueCY |
| Investment Income Prior Year | 1603571 | InvestmentIncomePriorYear |
| Investment Income Current Year | 885831 | InvestmentIncomeCurrentYear |
| Other Revenue Prior Year | 0 | OtherRevenuePriorYear |
| Other Revenue Current Year | 0 | OtherRevenueCurrentYear |
| Total Revenue Prior Year | 1603571 | TotalRevenuePriorYear |
| Total Revenue Current Year | 2385831 | TotalRevenueCurrentYear |
| Grants And Similar Amnts Prior Year | 5565278 | GrantsAndSimilarAmntsPriorYear |
| Grants And Similar Amnts CY | 5105343 | GrantsAndSimilarAmntsCY |
| Benefits Paid To Members Prior Year | 0 | BenefitsPaidToMembersPriorYear |
| Benefits Paid To Members CY | 0 | BenefitsPaidToMembersCY |
| Salaries Etc Prior Year | 0 | SalariesEtcPriorYear |
| Salaries Etc Current Year | 0 | SalariesEtcCurrentYear |
| Total Prof Fundrsng Exp Prior Year | 0 | TotalProfFundrsngExpPriorYear |
| Total Prof Fundrsng Exp CY | 0 | TotalProfFundrsngExpCY |
| Total Fundrsng Exp Current Year | 0 | TotalFundrsngExpCurrentYear |
| Other Expense Prior Year | 8079730 | OtherExpensePriorYear |
| Other Expenses Current Year | 7407549 | OtherExpensesCurrentYear |
| Total Expenses Prior Year | 13645008 | TotalExpensesPriorYear |
| Total Expenses Current Year | 12512892 | TotalExpensesCurrentYear |
| Revenues Less Expenses Prior Year | -12041437 | RevenuesLessExpensesPriorYear |
| Revenues Less Expenses CY | -10127061 | RevenuesLessExpensesCY |
| Total Assets BOY | 64529713 | TotalAssetsBOY |
| Total Assets EOY | 51238393 | TotalAssetsEOY |
| Total Liabilities BOY | 3593807 | TotalLiabilitiesBOY |
| Total Liabilities EOY | 542644 | TotalLiabilitiesEOY |
| Net Assets Or Fund Balances BOY | 60935906 | NetAssetsOrFundBalancesBOY |
| Net Assets Or Fund Balances EOY | 50695749 | NetAssetsOrFundBalancesEOY |
| Info In Schedule O Part III | X | InfoInScheduleOPartIII |
| Mission Description | THE MISSION OF THE FINRA INVESTOR EDUCATION FOUNDATION IS TO PROVIDE UNDERSERVED AMERICANS WITH THE KNOWLEDGE, SKILLS AND TOOLS NECESSARY FOR FINANCIAL SUCCESS THROUGHOUT LIFE. | MissionDescription |
| Significant New Program Services | false | SignificantNewProgramServices |
| Significant Change | false | SignificantChange |
| Expense | 5105343 | Expense |
| Grants | 5105343 | Grants |
| Description | GRANT PROGRAM - SEE SCHEDULE O | Description |
Activity2 Activity2
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 3495881 | Expense |
| Description | INVESTOR PROTECTION CAMPAIGN - SEE SCHEDULE O | Description |
Activity3 Activity3
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 2451243 | Expense |
| Description | MILITARY FINANCIAL EDUCATION PROJECT - SEE SCHEDULE O | Description |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Other Program Service Exp | 773130 | TotalOfOtherProgramServiceExp |
| Total Program Service Expense | 11825597 | TotalProgramServiceExpense |
| Described In501 C3 | false | DescribedIn501C3 |
| Schedule B Required | true | ScheduleBRequired |
| Political Activities | false | PoliticalActivities |
| Subject To Proxy Tax | false | SubjectToProxyTax |
| Donor Advised Funds | false | DonorAdvisedFunds |
| Conservation Easements | false | ConservationEasements |
| Collections Of Art | false | CollectionsOfArt |
| Credit Counseling | false | CreditCounseling |
| Term Or Permanent Endowments | false | TermOrPermanentEndowments |
| Report Land Bldg Equip | false | ReportLandBldgEquip |
| Report Invest Oth Securities | false | ReportInvestOthSecurities |
| Report Prog Rel Invest | false | ReportProgRelInvest |
| Report Other Assets | false | ReportOtherAssets |
| Report Other Liabilities | true | ReportOtherLiabilities |
| Report Fin48 Footnote | true | ReportFin48Footnote |
| Independent Audit Financial Stmt | true | IndependentAuditFinancialStmt |
| Consolidated Audit Financial Stmt | true | ConsolidatedAuditFinancialStmt |
| School | false | School |
| Foreign Office | false | ForeignOffice |
| Foreign Activities | false | ForeignActivities |
| More Than5000 K To Organizations | false | MoreThan5000KToOrganizations |
| More Than5000 K To Individuals | false | MoreThan5000KToIndividuals |
| Professional Fundraising | false | ProfessionalFundraising |
| Fundraising Activities | false | FundraisingActivities |
| Gaming | false | Gaming |
| Hospital | false | Hospital |
| Grants To Organizations | true | GrantsToOrganizations |
| Grants To Individuals | false | GrantsToIndividuals |
| Schedule J Required | true | ScheduleJRequired |
| Tax Exempt Bonds | false | TaxExemptBonds |
| Excess Benefit Transaction | false | ExcessBenefitTransaction |
| Prior Excess Benefit Transaction | false | PriorExcessBenefitTransaction |
| Loan To Officer Or DQP | false | LoanToOfficerOrDQP |
| Grant To Related Person | false | GrantToRelatedPerson |
| Bsnss Rltnshp With Organization | false | BsnssRltnshpWithOrganization |
| Bsnss Rltnshp Thru Family Member | false | BsnssRltnshpThruFamilyMember |
| Officer Entity With Bsnss Rltnshp | false | OfficerEntityWithBsnssRltnshp |
| Deductible Non Cash Contributions | false | DeductibleNonCashContributions |
| Deductible Contributions Of Art | false | DeductibleContributionsOfArt |
| Terminated | false | Terminated |
| Partial Liquidation | false | PartialLiquidation |
| Disregarded Entity | false | DisregardedEntity |
| Related Entity | true | RelatedEntity |
| Related Org Controlled Entity | true | RelatedOrgControlledEntity |
| Transaction Related Entity | false | TransactionRelatedEntity |
| Activities Conducted Partnership | false | ActivitiesConductedPartnership |
| Schedule O Required | true | ScheduleORequired |
| Number Forms Transmitted With1096 | 17 | NumberFormsTransmittedWith1096 |
| Number W2 G Included | 0 | NumberW2GIncluded |
| Compliance With Backup Witholding | true | ComplianceWithBackupWitholding |
| Number Of Employees | 0 | NumberOfEmployees |
| Unrelated Business Income | false | UnrelatedBusinessIncome |
| Foreign Financial Account | false | ForeignFinancialAccount |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTrans |
| Taxable Party Notification | false | TaxablePartyNotification |
| Non Deductible Contributions | false | NonDeductibleContributions |
| Quid Pro Quo Contributions | false | QuidProQuoContributions |
| Form8282 Property Disposed Of | false | Form8282PropertyDisposedOf |
| Funds To Pay Premiums | false | FundsToPayPremiums |
| Premiums Paid | false | PremiumsPaid |
| Indoor Tanning Services | false | IndoorTanningServices |
| Info In Schedule O Part VI | X | InfoInScheduleOPartVI |
| Nbr Voting Governing Body Members | 6 | NbrVotingGoverningBodyMembers |
| Number Independent Voting Members | 5 | NumberIndependentVotingMembers |
| Family Or Business Relationship | false | FamilyOrBusinessRelationship |
| Delegation Of Management Duties | false | DelegationOfManagementDuties |
| Changes To Organizing Docs | false | ChangesToOrganizingDocs |
| Material Diversion Or Misuse | false | MaterialDiversionOrMisuse |
| Members Or Stockholders | true | MembersOrStockholders |
| Election Of Board Members | true | ElectionOfBoardMembers |
| Decisions Subject To Approval | true | DecisionsSubjectToApproval |
| Minutes Of Governing Body | true | MinutesOfGoverningBody |
| Minutes Of Committees | true | MinutesOfCommittees |
| Officer Mailing Address | false | OfficerMailingAddress |
| Local Chapters | false | LocalChapters |
| Form990 Provided To Governing Body | true | Form990ProvidedToGoverningBody |
| Conflict Of Interest Policy | true | ConflictOfInterestPolicy |
| Annual Disclosure Covered Persons | true | AnnualDisclosureCoveredPersons |
| Regular Monitoring Enforcement | true | RegularMonitoringEnforcement |
| Whistleblower Policy | true | WhistleblowerPolicy |
| Document Retention Policy | true | DocumentRetentionPolicy |
| Compensation Process CEO | true | CompensationProcessCEO |
| Compensation Process Other | true | CompensationProcessOther |
| Investment In Joint Venture | false | InvestmentInJointVenture |
| Upon Request | X | UponRequest |
The Books Are In Care Of TheBooksAreInCareOf
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Person | MARCIA E ASQUITH | NamePerson |
| Telephone Number | 2027288949 | TelephoneNumber |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1735 K STREET NW | AddressLine1 |
| City | WASHINGTON | City |
| State | DC | State |
| ZIP Code | 200061506 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part VII | X | InfoInScheduleOPartVII |
Form990 Part VII Section A Form990PartVIISectionA (10 entries)
| TitleTitle | Average Hours Per WeekAverageHoursPerWeek | Individual Trustee Or DirectorIndividualTrusteeOrDirector | Reportable Comp From OrganizationReportableCompFromOrganization | Reportable Comp From Related OrgsReportableCompFromRelatedOrgs | Other CompensationOtherCompensation | OfficerOfficer |
|---|---|---|---|---|---|---|
| RICHARD G KETCHUM | ||||||
| CHAIRMAN | 1.0 | X | 0 | 3099986 | 69198 | |
| IDALIA P FERNANDEZ | ||||||
| BOARD MEMBER | 1.0 | X | 0 | 0 | 0 | |
| BONNIE G HILL | ||||||
| BOARD MEMBER | 1.0 | X | 0 | 0 | 0 | |
| DAVID W HUNTER | ||||||
| BOARD MEMBER | 1.0 | X | 0 | 0 | 0 | |
| DALLAS L SALISBURY | ||||||
| BOARD MEMBER | 1.0 | X | 0 | 0 | 0 | |
| SHARON P SMITH | ||||||
| BOARD MEMBER | 1.0 | X | 0 | 0 | 0 | |
| JOHN M GANNON | ||||||
| PRESIDENT (PART-YR) | 32.0 | 0 | 330161 | 62766 | X | |
| GERALDINE M WALSH | ||||||
| PRESIDENT (PART-YR) | 32.0 | 0 | 383482 | 49344 | X | |
| EILEEN M FAMIGLIETTI | ||||||
| TREASURER | 5.0 | 0 | 487695 | 50381 | X | |
| MARCIA E ASQUITH | ||||||
| SECRETARY | 2.0 | 0 | 471649 | 104985 | X | |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | 0 | TotalReportableCompFromOrg |
| Total Reportable Comp Frm Rltd Orgs | 4772973 | TotalReportableCompFrmRltdOrgs |
| Total Other Compensation | 336674 | TotalOtherCompensation |
| Number Individuals GT100 K | 0 | NumberIndividualsGT100K |
| Formers Listed | false | FormersListed |
| Total Comp GT150 K | true | TotalCompGT150K |
| Compensation From Other Sources | false | CompensationFromOtherSources |
Contractor Compensation ContractorCompensation (5 entries)
| Address Line1AddressOfContractor/AddressUS/AddressLine1 | CityAddressOfContractor/AddressUS/City | StateAddressOfContractor/AddressUS/State | ZIP CodeAddressOfContractor/AddressUS/ZIPCode | Description Of ServicesDescriptionOfServices | CompensationCompensation |
|---|---|---|---|---|---|
| GMMB INC | |||||
| PO BOX 415312 | BOSTON | MA | 02241 | SEE SCHEDULE O | 2956121 |
| CHANNEL ONE LLC | |||||
| 151 W 26TH STREET | NEW YORK | NY | 10001 | SEE SCHEDULE O | 636168 |
| US EXPRESS FREIGHT SYSTEMS | |||||
| 9301 PEPPERCORN PLACE | LARGO | MD | 20774 | SEE SCHEDULE O | 377407 |
| APPLIED RESEARCH CONSULTING | |||||
| 320 WEST 13TH STREET | NEW YORK | NY | 10014 | SEE SCHEDULE O | 254448 |
| PHEONIX LITHOGRAPHING | |||||
| 11631 CAROLINE ROAD | PHILADELPHIA | PA | 19154 | SEE SCHEDULE O | 172166 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Number Of Contractors GT100 K | 11 | NumberOfContractorsGT100K |
| Related Organizations | 1500000 | RelatedOrganizations |
| Total Contributions | 1500000 | TotalContributions |
| Total Program Service Revenue | 0 | TotalProgramServiceRevenue |
Investment Income InvestmentIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 725481 | TotalRevenueColumn |
| Exclusion | $725,481 | ExclusionAmount |
Income From Invest Bond Proceeds IncomeFromInvestBondProceeds
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
Royalties Revenue RoyaltiesRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
Gross Amount Sales Assets GrossAmountSalesAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 6856800 | Securities |
Less Cost Oth Basis Sales Expenses LessCostOthBasisSalesExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 6696450 | Securities |
Gain Or Loss GainOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 160350 | Securities |
Net Gain Or Loss Investments NetGainOrLossInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 160350 | TotalRevenueColumn |
| Exclusion | $160,350 | ExclusionAmount |
Net Income From Fundraising Events NetIncomeFromFundraisingEvents
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
Net Income From Gaming NetIncomeFromGaming
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
Net Income Or Loss NetIncomeOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Other Revenue | 0 | TotalOtherRevenue |
Total Revenue TotalRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 2385831 | TotalRevenueColumn |
| Unrelated Business Revenue | 0 | UnrelatedBusinessRevenue |
| Exclusion | $885,831 | ExclusionAmount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part IX | X | InfoInScheduleOPartIX |
Grants To Domestic Orgs GrantsToDomesticOrgs
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 5105343 | Total |
| Program Services | 5105343 | ProgramServices |
Grants To Domestic Individuals GrantsToDomesticIndividuals
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Foreign Grants ForeignGrants
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Benefits To Members BenefitsToMembers
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Comp Current Officers Directors CompCurrentOfficersDirectors
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Comp Disqual Persons CompDisqualPersons
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Other Salaries And Wages OtherSalariesAndWages
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Pension Plan Contributions PensionPlanContributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Other Employee Benefits OtherEmployeeBenefits
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Payroll Taxes PayrollTaxes
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Fees For Services Management FeesForServicesManagement
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 2852012 | Total |
| Program Services | 2410248 | ProgramServices |
| Management And General | 441764 | ManagementAndGeneral |
Fees For Services Legal FeesForServicesLegal
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Fees For Services Accounting FeesForServicesAccounting
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 42800 | Total |
| Management And General | 42800 | ManagementAndGeneral |
Fees For Services Lobbying FeesForServicesLobbying
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Fees For Services Prof Fundraising FeesForServicesProfFundraising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Fees For Services Invst Mgmnt Fees FeesForServicesInvstMgmntFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 8378 | Total |
| Management And General | 8378 | ManagementAndGeneral |
Fees For Services Other FeesForServicesOther
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Advertising Advertising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 3828945 | Total |
| Program Services | 3791380 | ProgramServices |
| Management And General | 37565 | ManagementAndGeneral |
Office Expenses OfficeExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 148357 | Total |
| Program Services | 118924 | ProgramServices |
| Management And General | 29433 | ManagementAndGeneral |
Information Technology InformationTechnology
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 312 | Total |
| Management And General | 312 | ManagementAndGeneral |
Royalties Royalties
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Occupancy Occupancy
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 214023 | Total |
| Program Services | 156267 | ProgramServices |
| Management And General | 57756 | ManagementAndGeneral |
Travel Travel
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 146021 | Total |
| Program Services | 108451 | ProgramServices |
| Management And General | 37570 | ManagementAndGeneral |
Travel Entrtnmnt Public Officials TravelEntrtnmntPublicOfficials
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Conferences Meetings ConferencesMeetings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 161243 | Total |
| Program Services | 133139 | ProgramServices |
| Management And General | 28104 | ManagementAndGeneral |
Interest Interest
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Payments To Affiliates PaymentsToAffiliates
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Depreciation Depletion DepreciationDepletion
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Insurance Insurance
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Other Expenses OtherExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | ALL OTHER EXPENSES | Description |
| Total | 5458 | Total |
| Program Services | 1845 | ProgramServices |
| Management And General | 3613 | ManagementAndGeneral |
Total Functional Expenses TotalFunctionalExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 12512892 | Total |
| Program Services | 11825597 | ProgramServices |
| Management And General | 687295 | ManagementAndGeneral |
| Fundraising | 0 | Fundraising |
Cash Non Interest Bearing CashNonInterestBearing
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 4125762 | BOY |
| EOY | 1620610 | EOY |
Savings And Temp Cash Investments SavingsAndTempCashInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 34614851 | BOY |
| EOY | 26033196 | EOY |
Pledges And Grants Receivable PledgesAndGrantsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Accounts Receivable AccountsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 57157 | EOY |
Receivables From Officers Etc ReceivablesFromOfficersEtc
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Receivables From Disqual Persons ReceivablesFromDisqualPersons
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Other Notes Loans Receivable Net OtherNotesLoansReceivableNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Inventories For Sale Or Use InventoriesForSaleOrUse
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Prepaid Expenses Deferred Charges PrepaidExpensesDeferredCharges
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 305298 | BOY |
| EOY | 68920 | EOY |
Land Buildings Equipment Basis Net LandBuildingsEquipmentBasisNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
Investments Pub Traded Securities InvestmentsPubTradedSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 25483802 | BOY |
| EOY | 23458022 | EOY |
Investments Other Securities InvestmentsOtherSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Investments Program Related InvestmentsProgramRelated
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Intangible Assets IntangibleAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Other Assets Total OtherAssetsTotal
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 488 | EOY |
Total Assets TotalAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 64529713 | BOY |
| EOY | 51238393 | EOY |
Accounts Payable Accrued Expenses AccountsPayableAccruedExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 597067 | BOY |
| EOY | 333050 | EOY |
Grants Payable GrantsPayable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 75928 | BOY |
| EOY | 49594 | EOY |
Deferred Revenue DeferredRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Tax Exempt Bond Liabilities TaxExemptBondLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Escrow Account Liability EscrowAccountLiability
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Loans From Officers Directors LoansFromOfficersDirectors
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Mort Notes Pybl Secured Invest Prop MortNotesPyblSecuredInvestProp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Unsecured Notes Loans Payable UnsecuredNotesLoansPayable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 2920812 | BOY |
| EOY | 160000 | EOY |
Total Liabilities TotalLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 3593807 | BOY |
| EOY | 542644 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Follow SFAS117 | X | FollowSFAS117 |
Unrestricted Net Assets UnrestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 60935906 | BOY |
| EOY | 50695749 | EOY |
Temporarily Restricted Net Assets TemporarilyRestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Permanently Restricted Net Assets PermanentlyRestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Total Net Assets Fund Balances TotalNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 60935906 | BOY |
| EOY | 50695749 | EOY |
Total Liab Net Assets Fund Balances TotalLiabNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 64529713 | BOY |
| EOY | 51238393 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part XI | X | InfoInScheduleOPartXI |
| Reconcilation Revenue Expenses | -10127061 | ReconcilationRevenueExpenses |
| Reconcilation Other Changes | -113096 | ReconcilationOtherChanges |
| Method Of Accounting Accrual | X | MethodOfAccountingAccrual |
| Accountant Compile Or Review | false | AccountantCompileOrReview |
| FS Audited | true | FSAudited |
| Audit Committee | true | AuditCommittee |
| Financial Statement Both | X | FinancialStatementBoth |
| Federal Grant Audit Required | false | FederalGrantAuditRequired |
Schedule B IRS990ScheduleB
Contributor Info ContributorInfo
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor Number | RESTRICTED | ContributorNumber |
Contributor Name Business ContributorNameBusiness
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | RESTRICTED | BusinessNameLine1 |
Contributor Address US ContributorAddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | RESTRICTED | AddressLine1 |
| Address Line2 | RESTRICTED | AddressLine2 |
| City | RESTRICTED | City |
| State | RESTRICTED | State |
| ZIP Code | RESTRICTED | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Aggregate Contributions | RESTRICTED | AggregateContributions |
Schedule D IRS990ScheduleD
| Field | Value | IRS element (for citing) |
|---|---|---|
| Art Public Exhibition Amts | ArtPublicExhibitionAmts | |
| Held Works Of Art Amts | HeldWorksOfArtAmts | |
| Current Year Minus3 Years | CurrentYearMinus3Years | |
| Land | Land | |
| Buildings | Buildings | |
| Leasehold Improvements | LeaseholdImprovements | |
| Equipment | Equipment | |
| Other Land Buildings | OtherLandBuildings | |
| Federal Income Tax Liability | 0 | FederalIncomeTaxLiability |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | INVESTMENTS PAYABLE | Description |
| Amount | $160,000 | Amount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Amounts | 160000 | TotalOfAmounts |
| Total Revenue | 2385831 | TotalRevenue |
| Total Expenses | 12512892 | TotalExpenses |
| Excess Or Deficit For Year | -10127061 | ExcessOrDeficitForYear |
| Prior Period Adjustments | 95754 | PriorPeriodAdjustments |
| Other | -$208,850 | OtherAmount |
| Total Adjustments | -113096 | TotalAdjustments |
| Excess Or Deficit Per FS | -10240157 | ExcessOrDeficitPerFS |
| Tot Revenue Etc Audited Fincl Stmt | 5768254 | TotRevenueEtcAuditedFinclStmt |
| Net Unrealized Gains Investments | -208857 | NetUnrealizedGainsInvestments |
| Donated Srvc And Use Of Facilities | 3591280 | DonatedSrvcAndUseOfFacilities |
| Revenue Not Rptd F990 | 3382423 | RevenueNotRptdF990 |
| Revenue Subtotal | 2385831 | RevenueSubtotal |
| Total Revenue Per Form990 | 2385831 | TotalRevenuePerForm990 |
| Tot Expenses Etc Audited Fincl Stmt | 16008418 | TotExpensesEtcAuditedFinclStmt |
| Donated Services Use Of Facilities | 3591280 | DonatedServicesUseOfFacilities |
| Prior Year Adjustments | -95754 | PriorYearAdjustments |
| Expenses Not Rptd F990 | 3495526 | ExpensesNotRptdF990 |
| Expenses Subtotal | 12512892 | ExpensesSubtotal |
| Total Expenses Per Form990 | 12512892 | TotalExpensesPerForm990 |
Form990 Schedule D Part XIV Form990ScheduleDPartXIV (2 entries)
| IdentifierIdentifier | ExplanationExplanation | Return ReferenceReturnReference |
|---|---|---|
| PART XI, LINE 8 | CHANGE IN MARKET VALUE | |
| SCHEDULE D, PART X, LINE 2 | U.S. GAAP PROVIDES A TWO-STEP APPROACH FOR EVALUATING TAX POSITIONS. RECOGNITION (STEP 1) OCCURS WHEN AN ENTITY CONCLUDES THAT A TAX POSITION, BASED SOLELY ON ITS TECHNICAL MERITS, IS MORE LIKELY THAN NOT TO BE SUSTAINED UPON EXAMINATION. IN STEP 2 (MEASUREMENT), THE TAX BENEFIT IS MEASURED AS THE LARGEST AMOUNT OF BENEFIT, DETERMINED ON A CUMULATIVE PROBABILITY BASIS, THAT IS MORE LIKELY THAN NOT TO BE REALIZED UPON ULTIMATE SETTLEMENT. DURING THE YEARS FROM 2008 TO 2011, WHICH REPRESENT THE YEARS MANAGEMENT CONSIDERS TO BE OPEN FOR EXAMINATION BY TAXING AUTHORITIES, MANAGEMENT DID NOT IDENTIFY THE EXISTENCE OF ANY UNCERTAIN TAX POSITIONS. ACCORDINGLY, ALL TAX POSITIONS ARE RECOGNIZED AND MEASURED AT THEIR FULL BENEFIT IN THE CONSOLIDATED BALANCE SHEETS AND STATEMENTS OF OPERATIONS. | FIN 48 FOOTNOTE FROM CONSOLIDATED AUDITED FINANCIAL STATEMENTS |
Schedule I IRS990ScheduleI
| Field | Value | IRS element (for citing) |
|---|---|---|
| Records Maintained | true | RecordsMaintained |
Recipient Table RecipientTable (80 entries)
| Address Line1AddressUS/AddressLine1 | CityAddressUS/City | StateAddressUS/State | ZIP CodeAddressUS/ZIPCode | EIN Of RecipientEINOfRecipient | IRC SectionIRCSection | Amount Of Cash GrantAmountOfCashGrant | Purpose Of GrantPurposeOfGrant |
|---|---|---|---|---|---|---|---|
| APPALACHIAN COMMUNITY ENTERPRISES INC | |||||||
| 3173 HIGHWAY 129 NORTH | CLEVELAND | GA | 30528 | 582383669 | 501(C)(3) | 51753 | SEE SCHEDULE O |
| ARIZONA STATE UNIVERSITY FOUNDATION | |||||||
| 300 EAST UNIVERSITY DRIVE | TEMPE | AZ | 85281 | 866051042 | 501(C)(3) | 70500 | SEE SCHEDULE O |
| ASPIRA ASSOCIATION - COMMUNITY AWARENESS | |||||||
| 1444 EYE STREET NW | WASHINGTON | DC | 20005 | 132625568 | 501(C)(3) | 119399 | SEE SCHEDULE O |
| ASSOC FOR FINANCIAL COUNSELING AND PLANNING EDUC | |||||||
| 1940 DUKE STREET | ALEXANDRIA | VA | 22314 | 342017326 | 501(C)(3) | 31297 | SEE SCHEDULE O |
| BRUNSWICK PUBLIC LIBRARY ASSOCIATION | |||||||
| 23 PLEASANT STREET | BRUNSWICK | ME | 04011 | 016000787 | 501(C)(3) | 72950 | SEE SCHEDULE O |
| CAMDEN PUBLIC LIBRARY | |||||||
| 17 SEA STREET | CAMDEN | ME | 04843 | 010505002 | 501(C)(3) | 45440 | SEE SCHEDULE O |
| CARMEL CLAY PUBLIC LIBRARY FOUNDATION | |||||||
| 55 4TH AVENUE SE | CARMEL | IN | 46032 | 351787253 | 501(C)(3) | 42300 | SEE SCHEDULE O |
| COASTAL COALITION FOR CHILDREN INC | |||||||
| 2311 HERON STREET | BRUNSWICK | GA | 31520 | 581497814 | 501(C)(3) | 72779 | SEE SCHEDULE O |
| CONNECTICUT ASSOCIATION FOR HUMAN SERVICES | |||||||
| 110 BARTHOLOMEW AVENUE | HARTFORD | CT | 06106 | 060653158 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| DREXEL UNIVERSITY OFFICE OF RESEARCH | |||||||
| 3201 ARCH STREET | PHILADELPHIA | PA | 19104 | 231352630 | 501(C)(3) | 143397 | SEE SCHEDULE O |
| ESTES PARK PUBLIC LIBRARY FOUNDATION | |||||||
| PO BOX 1470 | ESTES PARK | CO | 80517 | 742385213 | 501(C)(3) | 31102 | SEE SCHEDULE O |
| FIRST NATIONS DEVELOPMENT INSTITUTE | |||||||
| 351 COFFMAN STREET | LONGMONT | CO | 80501 | 541254491 | 501(C)(3) | 103838 | SEE SCHEDULE O |
| FLORIDA INTERNATIONAL UNIVERSITY COLLEGE OF LAW | |||||||
| 3000 NE 151ST STREET | MIAMI | FL | 33199 | 650177616 | 115 (A) | 62500 | SEE SCHEDULE O |
| FOUR BANDS COMMUNITY FUND | |||||||
| 101 S MAIN STREET | EAGLE BUTTE | SD | 57625 | 460456528 | 501(C)(3) | 25000 | SEE SCHEDULE O |
| FRIENDS OF BURLINGTON COUNTY LIBRARY SYSTEM | |||||||
| 5 PIONEER BOULEVARD | WESTAMTON | NJ | 08060 | 222346975 | 501(C)(3) | 47971 | SEE SCHEDULE O |
| FRIENDS OF THE BLAKE LIBRARY | |||||||
| 2351 SE MONTEREY ROAD | STUART | FL | 34996 | 596155142 | 501(C)(3) | 22527 | SEE SCHEDULE O |
| FRIENDS OF THE BOLIVAR COUNTY LIBRARY SYSTEM | |||||||
| 104 SOUTH LEFLORE AVE | CLEVELAND | MS | 38732 | 510161498 | 501(C)(3) | 16750 | SEE SCHEDULE O |
| FRIENDS OF THE CHESTERFIELD COUNTY PUBLIC LIBRARY | |||||||
| 9509 LORI ROAD | CHESTERFIELD | VA | 22832 | 521245254 | 501(C)(3) | 40800 | SEE SCHEDULE O |
| FRIENDS OF THE FLORENCE COUNTY LIBRARY SYSTEM | |||||||
| 509 SOUTH DARGAN STREET | FLORENCE | SC | 29506 | 570697650 | 501(C)(3) | 47949 | SEE SCHEDULE O |
| FRIENDS OF THE GEORGETOWN LIBRARY INC | |||||||
| 405 CLELAND STREET | GEORGETOWN | SC | 29440 | 570918036 | 501(C)(3) | 43650 | SEE SCHEDULE O |
| FRIENDS OF THE LIBRARY OF APACHE JUNCTION | |||||||
| 1177 N IDAHO ROAD | APACHE JUNCTION | AZ | 85119 | 860508052 | 501(C)(3) | 35100 | SEE SCHEDULE O |
| FRIENDS OF THE NEWTON FREE LIBRARY | |||||||
| 330 HOMER STREET | NEWTON | MA | 02459 | 066001404 | 501(C)(3) | 40906 | SEE SCHEDULE O |
| FRIENDS OF THE VIRGINIA BEACH PUBLIC LIBRARY | |||||||
| 4100 VIRGINIA BCH | VIRGINIA BEACH | VA | 23452 | 541064465 | 501(C)(3) | 25953 | SEE SCHEDULE O |
| GREEN MOUNTAIN UNITED WAY | |||||||
| 963 PAINE TURNPIKE | MONTPELIER | VT | 05602 | 030261384 | 501(C)(3) | 74982 | SEE SCHEDULE O |
| GREENSBORO PUBLIC LIBRARY FOUNDATION | |||||||
| 219 N CHURCH STREET | GREENSBORO | NC | 27401 | 562037761 | 501(C)(3) | 48250 | SEE SCHEDULE O |
| HITHERGREEN SENIOR CENTER | |||||||
| 5900 HITHERGREEN DR | CENTERFILLE | OH | 45429 | 311050721 | 501(C)(3) | 30000 | SEE SCHEDULE O |
| HOWARD UNIVERSITY SCHOOL OF LAW | |||||||
| 2225 GEORGIA AVE NW | WASHINGTON | DC | 20059 | 530204707 | 501(C)(3) | 62500 | SEE SCHEDULE O |
| INNOVATIONS FOR POVERTY ACTION | |||||||
| 101 WHITNEY AVENUE | NEW HAVEN | CT | 06510 | 061660068 | 501(C)(3) | 294360 | SEE SCHEDULE O |
| JACKSON DISTRICT LIBRARY | |||||||
| 244 WEST MICHIGAN AVENUE | JACKSON | MI | 49201 | 382184437 | 501(C)(3) | 49594 | SEE SCHEDULE O |
| JACKSONVILLE PUBLIC LIBRARIES FOUNDATION INC | |||||||
| 303 NORTH LAURA ST | JACKSONVILLE | FL | 32202 | 592836110 | 501(C)(3) | 50000 | SEE SCHEDULE O |
| LAWRENCE PUBLIC LIBRARY FOUNDATION | |||||||
| 707 VERMONT STREET | LAWRENCE | KS | 66044 | 481179872 | 501(C)(3) | 26400 | SEE SCHEDULE O |
| LIBRARIES OF EASTERN OREGON | |||||||
| PO BOX 11 | MORO | OR | 97037 | 931280400 | 501(C)(3) | 49088 | SEE SCHEDULE O |
| LIBRARY FOUNDATION SERVING THE PEOPLE OF MULTNOMAH | |||||||
| 620 SW FIFTH AVENUE | PORTLAND | OR | 97274 | 931190983 | 501(C)(3) | 50000 | SEE SCHEDULE O |
| MAINE CENTERS FOR WOMEN WORK AND COMMUNITY | |||||||
| 46 UNIVERSITY DRIVE | AUGUSTA | ME | 04330 | 016000769 | 501(C)(3) | 62500 | SEE SCHEDULE O |
| MARTINSBURG-BERKELEY COUNTY PUBLIC LIBRARIES | |||||||
| 101 W KING STREET | MARTINSBURG | WV | 25401 | 550364258 | 501(C)(3) | 39780 | SEE SCHEDULE O |
| MIDDLE COUNTRY LIBRARY FOUNDATION | |||||||
| 101 EASTWOOD BLVD | CENTERREACH | NY | 11720 | 113388625 | 501(C)(3) | 38700 | SEE SCHEDULE O |
| MILWAUKEE PUBLIC LIBRARY FOUNDATION | |||||||
| 814 WEST WISCONSIN AVE | MILWAUKEE | WI | 53233 | 391610233 | 501(C)(3) | 49500 | SEE SCHEDULE O |
| MONROE COUNTY PUBLIC LIBRARY FOUNDATION INC | |||||||
| 303 E KIRKWOOD AVE | BLOOMINGTON | IN | 47408 | 351892355 | 501(C)(3) | 39791 | SEE SCHEDULE O |
| MONTANA STATE UNIVERSITY EXTENSION | |||||||
| 309 MONTANA HALL | BOZEMAN | MT | 59717 | 816010045 | 501(C)(3) | 15563 | SEE SCHEDULE O |
| MORGAN HILL COMMUNITY FOUNDATION | |||||||
| PO BOX 1974 | MORGAN HILL | CA | 95038 | 800001382 | 501(C)(3) | 50000 | SEE SCHEDULE O |
| MOUNTAIN BROOK LIBRARY FOUNDATION | |||||||
| 50 OAK STREET | MOUNTAIN BROOK | AL | 35213 | 582094979 | 501(C)(3) | 46200 | SEE SCHEDULE O |
| NATIONAL COUNCIL ON AGING | |||||||
| 1901 L STREET NW | WASHINGTON | DC | 20036 | 131932384 | 501(C)(3) | 188316 | SEE SCHEDULE O |
| NATIONAL LABOR COLLEGE | |||||||
| 10000 N HAMPSHIRE | SILVER SPRING | MD | 20903 | 520895834 | 501(C)(3) | 247214 | SEE SCHEDULE O |
| NORTH CAROLINA STATE UNIVERSITY | |||||||
| PO BOX 7214 | RALEIGH | NC | 27695 | 566000756 | 115(A) | 272626 | SEE SCHEDULE O |
| NORTH CAROLINA STATE UNIVERSITY (CLARK) | |||||||
| PO BOX 7214 | RALEIGH | NC | 27695 | 566000756 | 115(A) | 70091 | SEE SCHEDULE O |
| OHIO STATE UNIVERSITY RESEARCH FOUNDATION | |||||||
| 1960 KENNY ROAD | COLUMBUS | OH | 43210 | 316401599 | 501(C)(3) | 23201 | SEE SCHEDULE O |
| ORANGE COUNTY LIBRARY DISTRICT | |||||||
| 101 EAST CENTRAL BLVD | ORLANDO | FL | 32801 | 592045143 | 501(C)(3) | 51150 | SEE SCHEDULE O |
| PACE UNIVERSITY SCHOOL OF LAW | |||||||
| 78 NORTH BROADWAY | WHITE PLAINS | NY | 10603 | 135562314 | 501(C)(3) | 30745 | SEE SCHEDULE O |
| PELHAM LIBRARY GUILD | |||||||
| 3162 PELHAM PARKWAY | PELHAM | AL | 35124 | 264800985 | 501(C)(3) | 44273 | SEE SCHEDULE O |
| PEPPERDINE UNIVERSITY SCHOOL OF LAW | |||||||
| 24255 PACIFIC COAST HWY | MALIBU | CA | 90263 | 951644037 | 501(C)(3) | 62500 | SEE SCHEDULE O |
| PIKE COUNTY PUBLIC LIBRARY DISTRICT | |||||||
| PO BOX 1276 | PIKEVILLE | KY | 41501 | 800415553 | 501(C)(3) | 17181 | SEE SCHEDULE O |
| REUBEN MCMILLAN FREE LIBRARY ASSOCIATION | |||||||
| 305 WICK AVENUE | YOUNGSTOWN | OH | 44503 | 346003201 | 501(C)(3) | 47551 | SEE SCHEDULE O |
| RISE FOUNDATION INC | |||||||
| 22 NORTH FRONT STREET | MEMPHIS | TN | 38103 | 311712061 | 501(C)(3) | 72493 | SEE SCHEDULE O |
| ROTARY CLUB OF SCHAUMBURG-HOFFMAN ESTATES CHARITAB | |||||||
| 130 S ROSELLE | SCHAUMBURG | IL | 60193 | 363891070 | 501(C)(3) | 43500 | SEE SCHEDULE O |
| SANTA CRUZ COMMUNITY VENTURES | |||||||
| 324 FRONT STREET | SANTA CRUZ | CA | 95060 | 770247648 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| STEP UP SAVANNAH | |||||||
| 428 BULL STREET | SAVANNAH | GA | 31401 | 300526014 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| SUFFOLK UNIVERSITY LAW SCHOOL | |||||||
| 8 ASHBURTON PLACE | BOSTON | MA | 02108 | 042133255 | 501(C)(3) | 62500 | SEE SCHEDULE O |
| TRUSTEES OF DARTMOUTH COLLEGE | |||||||
| 11 ROPE FERRY ROAD | HANOVER | NJ | 03755 | 020222111 | 501(C)(3) | 24341 | SEE SCHEDULE O |
| TRUSTEES OF PRINCETON UNIVERSITY | |||||||
| 4 NEW SOUTH | PRINCETON | NJ | 08544 | 210634501 | 501(C)(3) | 22204 | SEE SCHEDULE O |
| UNITED WAY OF GREATER CHATTANOOGA | |||||||
| PO BOX 4027 | CHATTANOOGA | TN | 37405 | 620565962 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED NEGRO COLLEGE FUND SPECIAL PROGRAMS CORP | |||||||
| 6402 ARLINGTON BLVD | FALLS CHURCH | VA | 22042 | 541980487 | 501(C)(3) | 77000 | SEE SCHEDULE O |
| UNITED WAY CAPITAL AREA | |||||||
| 2000 E MKL JR BOULEVARD | AUSTIN | TX | 78702 | 741193439 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED WAY OF MIAMI-DADE | |||||||
| 3250 SW 3 AVENUE | MIAMI | FL | 33129 | 590830840 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED WAY OF SOUTHEASTERN MICHIGAN | |||||||
| 660 WOODWARD AVENUE | DETROIT | MI | 48226 | 203099071 | 501(C)(3) | 69300 | SEE SCHEDULE O |
| UNITED WAY OF BUFFALO AND ERIE COUNTY | |||||||
| 742 DELAWARE AVENUE | BUFFALO | NY | 14209 | 160743969 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED WAY OF CENTRAL AND NORTHEASTERN CONNECTICUT | |||||||
| 30 LAUREL STREET | HARTFORD | CT | 06106 | 060646653 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED WAY OF CHESTER COUNTY | |||||||
| 211 N WALNUT ST | WEST CHESTER | PA | 19380 | 232131877 | 501(C)(3) | 38586 | SEE SCHEDULE O |
| UNITED WAY OF CHITTENDEN COUNTY | |||||||
| 412 FARRELL ST | SOUTH BURLINGTON | VT | 05403 | 030217229 | 501(C)(3) | 71797 | SEE SCHEDULE O |
| UNITED WAY OF DANE COUNTY | |||||||
| 2059 ATWOOD AVENUE | MADISON | WI | 53707 | 390817532 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED WAY OF GREATER KANSAS CITY | |||||||
| 1080 WASHINGTON ST | KANSAS CITY | MO | 64105 | 440545817 | 501(C)(3) | 75000 | SEE SCHEDULE O |
| UNITED WAY OF MARION COUNTY | |||||||
| PO BOX 1089 | OCALA | FL | 34478 | 590946642 | 501(C)(3) | 9782 | SEE SCHEDULE O |
| UNITED WAY OF TAMPA BAY | |||||||
| 5201 W KENNEDY BOULEVARD | TAMPA | FL | 33609 | 593725701 | 501(C)(3) | 22500 | SEE SCHEDULE O |
| UNITED WAY OF THE MIDLANDS | |||||||
| 1805 HARNEY STREET | OMAHA | NE | 68102 | 470376605 | 501(C)(3) | 60836 | SEE SCHEDULE O |
| UNITED WAY OF TUCSON AND SOUTHERN ARIZONA | |||||||
| PO BOX 86750 | TUCSON | AZ | 85754 | 860098932 | 501(C)(3) | 57926 | SEE SCHEDULE O |
| UNITED WAY OF WEST CENTRAL MISSISSIPPI | |||||||
| 920 SOUTH STREET | VICKSBURG | MS | 39181 | 640330259 | 501(C)(3) | 74813 | SEE SCHEDULE O |
| UNIVERSITY OF KENTUCKY MICHIGAN 4H | |||||||
| 240 SPARTAN WAY | EAST LANSING | MI | 48824 | 381539997 | 501(C)(3) | 30000 | SEE SCHEDULE O |
| UNIVERSITY OF MIAMI | |||||||
| PO BOX 405803 | ATLANTA | GA | 30384 | 590624458 | 501(C)(3) | 100000 | SEE SCHEDULE O |
| UNIVERSITY OF TENNESSEE | |||||||
| 218 T MORGAN HALL | KNOXVILLE | TN | 37996 | 626001636 | 501(C)(3) | 74201 | SEE SCHEDULE O |
| UNIVERSITY OF TENNESSEE (2011) | |||||||
| 121 MORGAN HALL | KNOXVILLE | TN | 37996 | 626001636 | 501(C)(3) | 66407 | SEE SCHEDULE O |
| WOMEN'S INSTITUTE FOR A SECURE RETIREMENT | |||||||
| 1146 19TH STREET NW | WASHINGTON | DC | 20036 | 521997317 | 501(C)(3) | 51240 | SEE SCHEDULE O |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Nbr Of501 C3 And Govt Grants | 77 | TotalNbrOf501C3AndGovtGrants |
| Total Nbr Of Other Organizations | 3 | TotalNbrOfOtherOrganizations |
Form990 Schedule I Part IV Form990ScheduleIPartIV
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | FORM 990, SCHEDULE I | Identifier |
| Return Reference | DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS | ReturnReference |
| Explanation | FOLLOWING APPROVAL OF A GRANT APPLICATION BY THE BOARD OF DIRECTORS, THE FOUNDATION EXECUTES A GRANT AGREEMENT WITH THE APPLICANT. THIS AGREEMENT SPECIFIES THE TERMS AND CONDITIONS OF THE GRANT, AS WELL AS THE REPORTING AND PAYMENT SCHEDULE. GRANTS ARE DISBURSED IN INSTALLMENTS KEYED TO THE SUBMISSION OF NARRATIVE AND FINANCIAL PROGRESS REPORTS AND THE COMPLETION OF DELIVERABLES, WHICH ARE REVIEWED BY THE FOUNDATION TO ENSURE QUALITY AND COMPLIANCE WITH THE GRANT AGREEMENT. AT ITS DISCRETION, THE FOUNDATION MAY ALSO CONDUCT SITE VISITS TO OBSERVE PROJECTS AND EXAMINE OUTCOMES. IN ADDITION TO PROGRESS REPORTS, GRANTEES ARE REQUIRED TO COMPLETE A FINAL NARRATIVE AND FINANCIAL REPORT DETAILING PROJECT ACTIVITIES AND ACCOUNTING FOR THE USE OF GRANT FUNDS. | Explanation |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| Compensation Committee | X | CompensationCommittee |
| Independent Consultant | X | IndependentConsultant |
| Written Employment Contract | X | WrittenEmploymentContract |
| Compensation Survey | X | CompensationSurvey |
| Board Or Committee Approval | X | BoardOrCommitteeApproval |
| Severance Payment | false | SeverancePayment |
| Supplemental Nonqual Retire Plan | true | SupplementalNonqualRetirePlan |
| Equity Based Comp Arrangement | false | EquityBasedCompArrangement |
| Comp Based On Revenue Of Filing Org | false | CompBasedOnRevenueOfFilingOrg |
| Comp Based On Revenue Related Orgs | false | CompBasedOnRevenueRelatedOrgs |
| Comp Based Net Earnings Filing Org | false | CompBasedNetEarningsFilingOrg |
| Comp Based Net Earnings Relate Orgs | false | CompBasedNetEarningsRelateOrgs |
Form990 Schedule J Part II Form990ScheduleJPartII (5 entries)
| Base Compensation Filing OrgBaseCompensationFilingOrg | Comp Based On Related OrgsCompBasedOnRelatedOrgs | Bonus Filing OrgBonusFilingOrg | Bonus Related OrgsBonusRelatedOrgs | Other Compensation Filing OrgOtherCompensationFilingOrg | Other Compensation Related OrgsOtherCompensationRelatedOrgs | Deferred Comp Filing OrgDeferredCompFilingOrg | Deferred Comp Related OrgsDeferredCompRelatedOrgs | Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrg | Nontaxable Benefits Related OrgsNontaxableBenefitsRelatedOrgs | Total Compensation Filing OrgTotalCompensationFilingOrg | Total Compensation Related OrgsTotalCompensationRelatedOrgs | Comp Report Prior990 Filing OrgCompReportPrior990FilingOrg | Comp Report Prior990 Related OrgsCompReportPrior990RelatedOrgs |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| RICHARD G KETCHUM | |||||||||||||
| 0 | 979862 | 0 | 1200000 | 0 | 920124 | 0 | 42384 | 0 | 26814 | 0 | 3169184 | 0 | 483350 |
| JOHN M GANNON | |||||||||||||
| 0 | 167814 | 0 | 125000 | 0 | 37347 | 0 | 59373 | 0 | 3393 | 0 | 392927 | 0 | |
| GERALDINE M WALSH | |||||||||||||
| 0 | 235291 | 0 | 105000 | 0 | 43191 | 0 | 39849 | 0 | 9495 | 0 | 432826 | 0 | |
| EILEEN M FAMIGLIETTI | |||||||||||||
| 0 | 242658 | 0 | 112500 | 0 | 132537 | 0 | 24790 | 0 | 25591 | 0 | 538076 | 0 | 75417 |
| MARCIA E ASQUITH | |||||||||||||
| 0 | 222553 | 0 | 225000 | 0 | 24096 | 0 | 70847 | 0 | 34138 | 0 | 576634 | 0 | |
Form990 Schedule J Part III Form990ScheduleJPartIII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | Supplemental Compensation Information | Identifier |
| Return Reference | SCHEDULE J, PART I, LINE 4B | ReturnReference |
| Explanation | LINE 4B) FINRA OFFERS TWO NON-QUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS. ANNUAL INCREASES IN BENEFIT VALUE, CLIFF VESTING EVENTS, AND PAYOUT DIFFERENTIALS ARE TAXABLE IN THE YEAR IN WHICH THEY OCCUR AND ARE REPORTED IN COLUMN B(iii) OF SCHEDULE J, PART II. UNVESTED BENEFIT AND CONTRIBUTION ACCRUALS ARE TAX DEFERRED AND ARE REPORTED IN COLUMN C OF SCHEDULE J, PART II. 1) FINRA'S SUPPLEMENTAL DEFINED BENEFIT PLAN IS A NON-QUALIFIED DEFINED BENEFIT PLAN THAT IS PROVIDED TO MEMBERS OF A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES SUCH AS THOSE DESCRIBED UNDER 201(2),301(A)(3), AND 401(A)(1) OF ERISA. IT IS A FINRA FUNDED PLAN THAT VESTS AT SPECIFIED AGE AND SERVICE MILESTONES. THIS PLAN WAS CLOSED TO NEW ENTRANTS AS OF 12/31/05. PARTICIPANTS IN THE SUPPLEMENTAL NON-QUALIFIED DEFINED BENEFIT PLAN THAT HAD A GROSS TAXABLE PAYOUT IN 2011 INCLUDE: NONE 2) FINRA'S SUPPLEMENTAL DEFINED CONTRIBUTION PLAN IS A NON-QUALIFIED PLAN THAT IS OPEN TO VICE PRESIDENTS AND ABOVE WITH AN ANNUAL BASE PAY ABOVE THE QUALIFIED LIMIT. IT IS ONLY OPEN TO THOSE NOT PARTICIPATING IN THE CLOSED NON-QUALIFIED DEFINED BENEFIT PLAN DESCRIBED ABOVE. IT IS A FINRA FUNDED PLAN WITH A 3 YEAR VESTING CYCLE WITH ANNUAL VESTING BEGINNING AT AGE 62. PARTICIPANTS IN THE SUPPLEMENTAL NON-QUALIFIED DEFINED CONTRIBUTION PLAN WITH CONTRIBUTIONS VESTING IN 2011 INCLUDE: EILEEN M. FAMIGLIETTI - $129,027 RICHARD G. KETCHUM - $892,140 FOR FURTHER INFORMATION REGARDING THE COMPENSATION OF OFFICERS, PLEASE REFER TO THE 2011 RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX - FORM 990 FOR THE FOUNDATION'S PARENT ORGANIZATION, THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. | Explanation |
Schedule O IRS990ScheduleO
General Explanation GeneralExplanation (17 entries)
| IdentifierIdentifier | Return ReferenceReturnReference | ExplanationExplanation |
|---|---|---|
| VOLUNTEER ACTIVITIES | FORM 990 PART I, LINE 6 | FIVE MEMBERS OF THE BOARD OF DIRECTORS SERVE ON A VOLUNTEER BASIS. THE BOARD OF DIRECTORS IS RESPONSIBLE FOR APPROVING ALL GRANTS AND PROJECTS. |
| EXEMPT PURPOSE ACHIEVEMENTS | FORM 990, PART III, LINE 4 | 4A) GRANT PROGRAMS IN 2011, THE FOUNDATION PROVIDED GRANT OPPORTUNITIES THROUGH FOUR GRANT PROGRAMS: THE GENERAL GRANT PROGRAM; SMART INVESTING@YOUR LIBRARY; FINANCIAL EDUCATION IN YOUR COMMUNITY; AND THE INVESTOR ADVOCACY CLINIC PROGRAM. THROUGH THESE PROGRAMS, THE FOUNDATION SUPPORTS INNOVATIVE RESEARCH AND EDUCATIONAL PROJECTS THAT PROVIDE UNDERSERVED AMERICANS WITH THE KNOWLEDGE, SKILLS AND TOOLS NECESSARY FOR FINANCIAL SUCCESS THROUGHOUT LIFE. THE FOUNDATION WILL AWARD GRANTS TO ENTITIES DESIGNATED AS TAX-EXEMPT ACCORDING TO INTERNAL REVENUE CODE SECTION 501(C)(3) AND STATE AND OTHER PUBLIC COLLEGES AND UNIVERSITIES. THE FOUNDATION PLACES HIGH PRIORITY ON REACHING AND ENGAGING A WELL-DEFINED TARGET AUDIENCE AND ENCOURAGES COLLABORATION AND STRATEGIC PARTNERSHIPS THAT FACILITATE EFFECTIVE MARKETING AND DISTRIBUTION EFFORTS. THE FOUNDATION OFFERS ROLLING DEADLINES FOR PROJECT CONCEPT FORMS UNDER THE GENERAL GRANT PROGRAM. APPLICANTS WHOSE PROJECTS MOST CLOSELY ALIGN WITH THE FOUNDATION'S PRIORITIES ARE INVITED TO SUBMIT A FULL GRANT PROPOSAL FOR CONSIDERATION AT ONE OF THE FOUNDATION'S BOARD MEETINGS. FUNDING PRIORITIES ARE SPECIFIED IN THE GRANT GUIDELINES. THE GUIDELINES ALSO SPECIFY ELIGIBILITY REQUIREMENTS AND GRANT CRITERIA. THE SMART INVESTING@YOUR LIBRARY GRANT PROGRAM IS ADMINISTERED JOINTLY BY THE FINRA INVESTOR EDUCATION FOUNDATION AND THE AMERICAN LIBRARY ASSOCIATION. THIS INVITATION-ONLY GRANT PROGRAM FUNDS PUBLIC LIBRARY EFFORTS TO PROVIDE LIBRARY PATRONS WITH ACCESS TO EFFECTIVE, UNBIASED FINANCIAL EDUCATION RESOURCES. THE FINANCIAL EDUCATION IN YOUR COMMUNITY GRANT PROGRAM IS ADMINISTERED JOINTLY BY THE FINRA INVESTOR EDUCATION FOUNDATION AND UNITED WAY WORLDWIDE. THIS INVITATION-ONLY GRANT PROGRAM FUNDS REGIONAL AND LOCAL COMMUNITY-BASED ORGANIZATIONS TO MEET THE FINANCIAL EDUCATION NEEDS OF UNDERSERVED WORKING INDIVIDUALS AND FAMILIES. THE INVESTOR ADVOCACY CLINIC PROGRAM PROVIDES START-UP FUNDING AND ASSISTANCE TO LAW SCHOOLS THAT ARE WELL POSITIONED TO ESTABLISH CLINICS OFFERING LEGAL ADVICE AND OTHER HELP FOR UNDERSERVED INVESTORS. THIS INVITATION-ONLY GRANT PROGRAM AIMS TO FILL THE GAP IN LEGAL REPRESENTATION FOR SMALL INVESTORS. 4B) INVESTOR PROTECTION CAMPAIGN THE FINRA FOUNDATION LAUNCHED A RESEARCH-BASED, SOCIAL CHANGE CAMPAIGN DESIGNED TO REDUCE THE INCIDENCE OF INVESTMENT FRAUD AMONG INVESTORS. DEVELOPED IN COLLABORATION WITH AARP, STATE SECURITIES REGULATORS AND NOTED EXPERTS IN THE FIELDS OF FRAUD AND PERSUASION, CAMPAIGN ACTIVITIES AND RESOURCES ARM INVESTORS WITH THE TOOLS AND KNOWLEDGE THEY NEED TO: REALIZE THEY ARE VULNERABLE TO FINANCIAL FRAUD; IDENTIFY PERSUASION TACTICS USED BY FRAUDSTERS; AND REDUCE RISKY BEHAVIORS BY ASKING THE RIGHT QUESTIONS AND KNOWING HOW TO VERIFY ANSWERS. RESULTS OF A FIELD TEST DEMONSTRATE THAT THE "OUTSMARTING INVESTMENT FRAUD" CURRICULUM REDUCED RESPONSIVENESS TO A FRAUD APPEAL BY OVER FIFTY PERCENT. 4C) MILITARY FINANCIAL EDUCATION PROJECT THE FINRA FOUNDATION DEVELOPED SAVEANDINVEST.ORG AS A FINANCIAL EDUCATION PROGRAM TO EXPAND THE SAVING AND INVESTING KNOWLEDGE OF MILITARY SERVICE MEMBERS AND THEIR SPOUSES. THE MULTI-FACETED INITIATIVE INCLUDES: AN ONLINE RESOURCE CENTER; ON-THE-GROUND TRAINING; EDUCATIONAL MATERIALS AND PROGRAMS; AND A LONG-TERM PUBLIC OUTREACH CAMPAIGN. THE FOUNDATION IS A PROUD PARTNER IN THE DEPARTMENT OF DEFENSE FINANCIAL READINESS CAMPAIGN. 4D) OTHER PROGRAM SERVICES ARE COMPRISED OF THE FOLLOWING: NATIONAL FINANCIAL CAPABILITY STUDY IN 2009, THE FINRA FOUNDATION CONDUCTED A STUDY OF AMERICAN ADULTS' FINANCIAL CAPABILITY IN CONSULTATION WITH THE U.S. TREASURY DEPARTMENT AND THE PRESIDENT'S ADVISORY COUNCIL ON FINANCIAL LITERACY. THE STUDY WAS COMPRISED OF THREE LINKED SURVEYS: A NATIONAL SURVEY; A MILITARY SURVEY; AND A STATE-BY-STATE SURVEY. THE PURPOSE OF THE STUDY WAS TO ESTABLISH A BASELINE MEASURE OF THE ABILITY OF AMERICANS TO MANAGE THEIR MONEY BY PROVIDING EMPIRICAL EVIDENCE OF THE CURRENT STATE OF FINANCIAL KNOWLEDGE AMONG ADULTS, WHY CONSUMERS BEHAVE THE WAY THEY DO AND THE ATTITUDES THAT CONSUMERS HAVE TOWARDS FINANCES. THE FOUNDATION IS WORKING WITH THE RE-NAMED PRESIDENT'S ADVISORY COUNCIL ON FINANCIAL CAPABILITY AND A VARIETY OF ORGANIZATIONS AND AGENCIES TO RE-FIELD THE STATE-BY-STATE AND MILITARY COMPONENTS OF THE STUDY IN 2012. TEEN FINANCIAL LITERACY PROJECT THE FOUNDATION, IN PARTNERSHIP WITH THE CONSUMER FEDERATION OF AMERICA AND USING THE CHANNEL ONE NETWORK AS THE CHIEF SERVICE PROVIDER, SUPPORTED A MULTIMEDIA PROJECT TO IMPROVE KNOWLEDGE OF SELECT, FUNDAMENTALLY IMPORTANT FINANCIAL LITERACY CONCEPTS AMONG AMERICAN TEENAGERS, AND TO PROVIDE THEM WITH THE SKILLS TO APPLY THESE CONCEPTS TO EVERYDAY FINANCIAL DECISION-MAKING. TOPICS INCLUDE COMPOUND INTEREST, SAVING AND INVESTING TO ACHIEVE LIFE GOALS, BUDGETING AND THE USES AND MISUSES OF CREDIT. SPECIAL ATTENTION IS GIVEN TO TOPICS THAT ARE CLOSELY LINKED TO MATHEMATICS. COLLEGE STUDENT DEBT PROJECT THE FOUNDATION, IN PARTNERSHIP WITH THE INSTITUTE FOR COLLEGE ACCESS AND SUCCESS (TICAS) DEVELOPED A PUBLICATION ON COLLEGE AND UNIVERSITY PRACTICES RELATED TO PRIVATE STUDENT LOANS, WITH PARTICULAR EMPHASIS ON UPSTREAM, PROACTIVE STEPS TO REIN IN RISKY BORROWING. THE REPORT IDENTIFIES EXAMPLES FROM A VARIETY OF COLLEGES (LARGE AND SMALL, PUBLIC AND PRIVATE, FOUR-YEAR AND TWO-YEAR, NON-PROFIT AND FOR-PROFIT) AND ANALYZES WHAT SEEMS TO BE WORKING OR NOT WORKING AND WHY. |
| CLASSES OF MEMBERS AND THE NATURE OF THEIR RIGHTS | FORM 990, PART VI, LINES 6, 7A and 7B | LINE 6 - FINRA IS THE SOLE MEMBER OF FINRA INVESTOR EDUCATION FOUNDATION. LINE 7A - FINRA, AS SOLE MEMBER, ELECTS ALL MEMBERS OF THE GOVERNING BODY. LINE 7B - THE BYLAWS OF THE CORPORATION MAY BE ADOPTED, AMENDED OR REPEALED BY A MAJORITY VOTE OF THE DIRECTORS IN OFFICE; PROVIDED, THAT ANY AMENDMENT TO THE SECTIONS OF THE BYLAWS GOVERNING THE NUMBER OF DIRECTORS, THE ELECTION OF DIRECTORS, VACANCIES OR REMOVAL OF DIRECTORS REQUIRES THE APPROVAL OF THE MEMBER, FINRA. THE CERTIFICATE OF INCORPORATION OF THE CORPORATION MAY BE AMENDED OR REPEALED IN WHOLE OR IN PART ONLY WITH THE AFFIRMATIVE APPROVAL OF THE MEMBER, FINRA. |
| FORM 990 REVIEW PROCESS | FORM 990, PART VI, LINE 11 | THE FORM 990 WAS REVIEWED BY SENIOR MANAGEMENT AT VARIOUS STEPS THROUGHOUT THE PREPARATION CYCLE. THE FOUNDATION BOARD REVIEWED THE FINAL VERSION ON SEPTEMBER 28, 2012. FORM 990, PART VI EMPLOYMENT RULES AND POLICIES THE FINRA INVESTOR EDUCATION FOUNDATION, INC. DOES NOT HAVE ANY EMPLOYEES. ALL SERVICES ARE PROVIDED BY EMPLOYEES OF FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (FINRA). THE FINRA INVESTOR EDUCATION FOUNDATION DOES NOT PAY FOR THEIR SERVICES. AS SUCH, THOSE INDIVIDUALS ARE SUBJECT TO THE EMPLOYMENT RULES AND POLICIES OF FINRA. |
| WRITTEN CONFLICT OF INTEREST POLICY | FORM 990, PART VI, LINE 12C | THE ORGANIZATION HAS A WRITTEN CONFLICT OF INTEREST POLICY THAT GOVERNS THE PROFESSIONAL AND ETHICAL CONDUCT OF BOARD MEMBERS, OFFICERS AND STAFF. AMONG OTHER THINGS, THE WRITTEN CONFLICT OF INTEREST POLICY REQUIRES BOARD MEMBERS AND OFFICERS TO MAKE INITIAL DISCLOSURE OF INTERESTS THAT COULD GIVE RISE TO CONFLICTS AS WELL AS ANNUAL DISCLOSURE BY THE SAME BOARD MEMBERS AND OFFICERS. ADDITIONALLY, THE WRITTEN POLICY CONTAINS AN ONGOING OBLIGATION OF BOARD MEMBERS, OFFICERS AND STAFF TO DISCLOSE POTENTIAL CONFLICTS OF INTEREST AS THEY ARISE. THE ORGANIZATION'S OFFICERS AND STAFF ARE EMPLOYEES OF FINRA, AND, AS SUCH, ARE ALSO REQUIRED TO CERTIFY ANNUALLY AS TO THEIR COMPLIANCE WITH FINRA'S WRITTEN CONFLICT OF INTEREST POLICY. THE WRITTEN POLICY CONTAINS AN ONGOING OBLIGATION FOR EMPLOYEES TO INFORM FINRA OF ALL BROKERAGE ACCOUNTS IN WHICH THEY HAVE AN INTEREST AND TO ARRANGE FOR FINRA TO RECEIVE DUPLICATE ACCOUNT STATEMENTS. FINRA REVIEWS TRANSACTIONS IN EMPLOYEES' BROKERAGE ACCOUNTS TO ENSURE COMPLIANCE WITH FINRA'S INVESTMENT RESTRICTIONS. AMONG OTHER THINGS, THESE RESTRICTIONS PROHIBIT EMPLOYEES FROM HAVING AN INTEREST IN A BROKER-DEALER OR ENTITY THAT DERIVES 10% OR MORE OF ITS REVENUE, NET OF INTEREST EXPENSE, FROM BROKER-DEALER SUBSIDIARIES OR AFFILIATES. A LIST OF PROHIBITED COMPANIES IS POSTED ON FINRA'S CORPORATE INTRANET. FINRA'S DEPARTMENT HEADS HAVE ACCESS TO SEVERAL ONLINE REPORTS THAT HELP THEM AVOID ASSIGNING AN EMPLOYEE TO WORK ON A PROJECT THAT WOULD GIVE RISE TO A CONFLICT. FOR INSTANCE, A MANAGER CAN DETERMINE WHETHER AN EMPLOYEE'S STOCK HOLDINGS WOULD CONFLICT WITH A PROPOSED FINRA ASSIGNMENT (E.G., ASSIGNING AN EMPLOYEE TO NEGOTIATE A CONTRACT WITH A VENDOR IN WHICH THE EMPLOYEE HAS A SIGNIFICANT STOCK POSITION). EMPLOYEES ARE REGULARLY REMINDED OF THE RESOURCES THAT ARE AVAILABLE WHEN THEY ARE UNSURE WHAT TO DO. IN ADDITION TO TALKING TO DEPARTMENTAL MANAGEMENT, EMPLOYEES CAN DISCUSS CONFLICTS-RELATED CONCERNS WITH FINRA'S OFFICE OF GENERAL COUNSEL OR ETHICS MANAGER. IF THEY ARE UNCOMFORTABLE DISCLOSING AN ISSUE AND DISCLOSING THEIR IDENTITY, THEY CAN USE FINRA'S 24-HOUR ETHICSPOINT HOTLINE TO POSE QUESTIONS OR REPORT CONCERNS. COMMUNICATIONS MADE THROUGH ETHICSPOINT ARE CONFIDENTIAL AND, IF THE EMPLOYEE WISHES, ANONYMOUS. FINRA'S WHISTLEBLOWER POLICY FORBIDS RETALIATION AGAINST EMPLOYEES WHO REPORT SUSPECTED MISCONDUCT IN GOOD FAITH, EVEN IF THE REPORT ULTIMATELY PROVES TO BE ERRONEOUS. |
| PROCESS TO DETERMINE COMPENSATION OF CEO, EXEC. DIR. OR TOP OFFICIALS, | OTHER OFFICERS, AND KEY EMPLOYEES OF FINRA | THE MANAGEMENT COMPENSATION COMMITTEE OF THE BOARD OF GOVERNORS (THE "COMMITTEE") IS RESPONSIBLE FOR SETTING PAY FOR EXECUTIVES OF FINRA AND SUBSIDIARIES WHOSE TOTAL COMPENSATION, INCLUDING INCENTIVE COMPENSATION, MAY EXCEED $1 MILLION. THE COMMITTEE IS COMPRISED OF FOUR NON-EMPLOYEE, NON-SECURITIES INDUSTRY MEMBERS OF THE BOARD OF GOVERNORS. THE COMMITTEE MET ON NOVEMBER 8, 2010, DECEMBER 7, 2010, JANUARY 24, 2011, AND AGAIN ON FEBRUARY 2, 2011 TO ESTABLISH INCENTIVE COMPENSATION ATTRIBUTABLE TO THE PERFORMANCE OF SERVICES DURING CALENDAR YEAR 2010 AND TO ESTABLISH BASE SALARIES FOR CALENDAR YEAR 2011. AS A GENERAL POLICY, FINRA HAS DETERMINED ITS COMPETITIVE COMPENSATION POSITIONING SHOULD BE CONSIDERED AGAINST A BROAD SECTION OF FINANCIAL SERVICES/CAPITAL MARKET COMPANIES, AS THIS SECTOR IS THE MOST LIKELY FROM WHICH WE RECRUIT TALENT AND TALENT IS RECRUITED FROM US. WE ALSO BENCHMARK AGAINST GENERAL INDUSTRY POSITIONS AND LAW DEPARTMENTS FOR JOBS THAT ARE NOT UNIQUE TO THE FINANCIAL SERVICES INDUSTRY. THE COMMITTEE ENGAGED MERCER, INC. ("MERCER"), A THIRD-PARTY COMPENSATION CONSULTANT, TO PREPARE A COMPENSATION STUDY FOR REVIEW AT THESE MEETINGS. IN DETERMINING A BENCHMARKING STRATEGY FOR KEY EXECUTIVES, FINANCIAL SERVICES ORGANIZATIONS (BROKER-DEALERS, INVESTMENT BANKS, FEDERAL RESERVE BANKS, COMMERCIAL BANKS, INSURANCE COMPANIES, EXCHANGES AND REGULATORS) WERE DETERMINED TO BE THE MOST RELEVANT GROUPS FOR COMPARISON PURPOSES. THE COMMITTEE AND MERCER ENGAGED IN SUBSTANTIAL RESEARCH AND CONSIDERATION OF THE FUNCTIONS AND OPERATIONS OF SEVERAL POTENTIAL COMPARATORS AS WELL AS GENERAL COMPETITIVE CONDITIONS. IN DETERMINING SALARY AND INCENTIVE COMPENSATION, MANAGEMENT AND THE COMMITTEE ALSO CONSIDER OPERATIONAL, STRATEGIC AND FINANCIAL FACTORS IN ADDITION TO INDIVIDUAL PERFORMANCE. THE COMMITTEE'S MINUTES OF THE NOVEMBER 8, 2010, DECEMBER 7, 2010, JANUARY 24, 2011 AND FEBRUARY 2, 2011 MEETINGS WERE REVIEWED AND APPROVED AS ACCURATE AND COMPLETE FOLLOWING THE COMMITTEE'S APPROVAL OF THE SENIOR EXECUTIVE COMPENSATION PACKAGES. THE FULL BOARD FURTHER APPROVED THE 2010 INCENTIVE COMPENSATION OF THE CEO AT ITS MEETING ON FEBRUARY 2, 2011. ALL COMPENSATION COMMITTEE MEMBERS VOTED FOR THE PROPOSED LEVEL OF EXECUTIVE COMPENSATION. |
| PUBLIC AVAILABILITY OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST | POLICY AND FINANCIAL STATEMENTS | FORM 990, PART VI, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS AND AUDITED FINANCIAL STATEMENTS AVAILABLE UPON REQUEST. |
| VOLUNTARY DISCLOSURE FOR EBRI CONTRIBUTION | FINRA REGULATION CONTRIBUTED A TOTAL OF $32,500 IN 2011 TO THE EMPLOYEE BENEFIT RESEARCH INSTITUTE EDUCATION AND RESEARCH FUND (EBRI-ERF), A SEPARATE CORPORATE 501(C)(3) AFFILIATE FOR THE EMPLOYEE BENEFIT RESEARCH INSTITUTE, OF WHICH FINRA FOUNDATION BOARD MEMBER (THROUGH DECEMBER 2011), DALLAS L. SALISBURY, IS PRESIDENT AND CEO. THIS INCLUDES $7,500 IN SUPPORT OF THE EBRI RETIREMENT CONFIDENCE SURVEY FOR 2012, AND $25,000 TOWARDS ANNUAL PARTNERSHIP IN THE AMERICAN SAVINGS EDUCATION COUNCIL WHICH THE EMPLOYEE BENEFIT RESEARCH INSTITUTE ADMINISTERS. | |
| GRANTS AND OTHER ASSISTANCE - PURPOSE OF GRANT OR ASSISTANCE | SCHEDULE I, PART I | APPALACHIAN COMMUNITY ENTERPRISES, INC., CLEVELAND, GA (58-2383669) APPALACHIAN COMMUNITY ENTERPRISES WILL PARTNER WITH THE LOCAL HEAD START PROGRAM TO PROVIDE A SERIES OF BASIC MONEY MANAGEMENT WORKSHOPS FOR LOW INCOME FAMILIES IN TWO COUNTIES IN NORTH GEORGIA. WORKSHOPS WILL BE PRESENTED IN ENGLISH AND SPANISH USING A UNIQUE "STORYTELLING" MODEL THAT ENGAGES ADULT LEARNERS IN ENTERTAINING, PARTICIPATIVE ACTIVITIES THAT AID IN KNOWLEDGE RETENTION. ARIZONA STATE UNIVERSITY FOUNDATION, TEMPE, AZ (86-6051042) THE CENTER FOR COMMUNITY DEVELOPMENT AND CIVIL RIGHTS AT THE ARIZONA STATE UNIVERSITY WILL LAUNCH A FINANCIAL EDUCATION CLASS THAT CAPITALIZES ON KEY ELEMENTS OF THE SUCCESSFUL AMERICAN DREAM ACADEMY PARENT EDUCATION PROGRAM. THE AMERICAN DREAM ACADEMY PARTNERS WITH SCHOOLS AND DISTRICTS IN LOW-INCOME, DISADVANTAGED RESIDENTIAL AREAS AND TRAINS PARENTS TO BECOME EFFECTIVE PARTNERS AND ADVOCATES OF THEIR CHILDREN. THIS PROGRAM WAS DEVELOPED IN RESPONSE TO INTEREST BY PARTICIPANTS IN ADDITIONAL EDUCATIONAL COMPONENTS THAT TEACH THE LIFE SKILLS NEEDED TO RISE ABOVE LOW-INCOME STATUS. THE ASPIRA ASSOCIATION, INC., WASHINGTON, DC (13-2627568) THE ASPIRA ASSOCIATION AND ITS MEDIA PARTNERS WILL CONDUCT A NATIONWIDE SOCIAL MARKETING CAMPAIGN TO COMMUNICATE THE IMPORTANCE OF INVESTING AND WEALTH CREATION TO FIRST- AND SECOND-GENERATION LATINOS. THE PROJECT WILL EXPAND THE CAPACITY OF HISPANIC COMMUNITY- AND FAITH-BASED ORGANIZATIONS TO DELIVER INVESTOR EDUCATION WORKSHOPS AND FACILITATE THE ACHIEVEMENT OF PERSONAL AND FAMILY FINANCIAL GOALS. ASSOCIATION FOR FINANCIAL COUNSELING AND PLANNING EDUCATION, COLUMBUS, OH (34-2017326) IMPROVING THE FINANCIAL MANAGEMENT OF INTACT AND DIVORCING COUPLES AFCPE IS DELIVERING A SIX-PART CONTINUING EDUCATION PROGRAM, MONEY 1 TO 1, TO MEMBERS OF NON-FINANCE PROFESSIONAL COUNSELING ASSOCIATIONS DEALING WITH RELATIONSHIP AND DIVORCE ISSUES. THE TRAINING ENABLES COUNSELORS TO ASSIST CLIENTS WITH FINANCIAL COMMUNICATIONS, BUDGETING AND CASH FLOW MANAGEMENT, MANAGING INVESTMENTS AND RESIDENCES, AND TAX ISSUES IN DIVORCE. IN EXCHANGE FOR RECEIVING THE EDUCATION, COUNSELORS ARE REQUIRED TO PROVIDE PRO BONO SERVICES TO INDIVIDUALS OR COUPLES. CURTIS MEMORIAL LIBRARY, BRUNSWICK, ME (01-6000787) CURTIS MEMORIAL LIBRARY AND ITS PARTNERS ARE OFFERING A FINANCIAL LITERACY PROGRAM TAILORED TO THE SPECIFIC INFORMATION NEEDS AND LEARNING STYLES OF WOMEN IN THREE LIFE STAGES: TEENS AND YOUNG WOMEN ENTERING THE WORKFORCE (AGES 15-24), WOMEN IN MIDLIFE IN VARIOUS STAGES OF TRANSITION THAT REQUIRE SMART FINANCIAL MANAGEMENT (AGES 25-44) AND WOMEN ENTERING RETIREMENT AGE (AGES 55-65). CAMDEN PUBLIC LIBRARY CENTENNIAL FUND, CAMDEN, ME (01-0505002) THE CAMDEN PUBLIC LIBRARY AND ITS PARTNERS ARE UNDERTAKING A MULTIPART CAMPAIGN TO REACH EVERY HOUSEHOLD IN THE TOWN WITH A VARIETY OF PERSONAL FINANCE MESSAGES, RESOURCES AND UTILITIES. THE PROJECT GIVES PARTICULAR ATTENTION TO STUDENTS IN HIGH SCHOOL AND WORKING ADULTS IN THE COMMUNITY. CARMEL CLAY PUBLIC LIBRARY FOUNDATION, CARMEL, IN (35-1787253) CARMEL CLAY PUBLIC LIBRARY IS COLLABORATING WITH THE LOCAL PUBLIC SCHOOL SYSTEM, THE BALL STATE UNIVERSITY CENTER FOR ECONOMIC EDUCATION, THE INDIANA COUNCIL FOR ECONOMIC EDUCATION AND THE INDIANA YOUTH INSTITUTE TO ESTABLISH THE LIBRARY AS THE COUNTY'S FOCAL POINT FOR PERSONAL FINANCE LEARNING. THE PROGRAM WILL ADDRESS MONEY BASICS FOR TEENS, COLLEGE FINANCING, RETIREMENT PLANNING AND INVESTOR PROTECTION, AMONG OTHER TOPICS. COASTAL COALITION FOR CHILDREN, INC., BRUNSWICK, GA (58-1497814) THE COASTAL COALITION FOR CHILDREN WILL PARTNER WITH THE UNIVERSITY OF GEORGIA COOPERATIVE EXTENSION AND LOCAL SOCIAL SERVICE AGENCIES TO INCORPORATE BASIC FINANCIAL EDUCATION INTO EXISTING CLIENT PROGRAMS. THE UNITED WAY OF COASTAL GEORGIA, THE BRUNSWICK HOUSING AUTHORITY AND THE COLLEGE OF COASTAL GEORGIA WILL ALSO COLLABORATE IN THE EFFORT TO PROVIDE BILINGUAL WORKSHOPS FOR THE GENERAL PUBLIC. CONNECTICUT ASSOCIATION FOR HUMAN SERVICES, HARTFORD, CT (06-0653158) THE CONNECTICUT ASSOCIATION FOR HUMAN SERVICES WILL PARTNER WITH EXISTING VOLUNTEER INCOME TAX ASSISTANCE COALITIONS TO PROVIDE ACCESS TO FINANCIAL EDUCATION, FINANCIAL COACHING AND ASSET BUILDING PROGRAMS FOR 1,700 CLIENTS WHO QUALIFY FOR THE EARNED INCOME TAX CREDIT. THE PROJECT WILL FOCUS ON NEIGHBORHOODS IN FAIRFIELD, NEW HAVEN AND LITCHFIELD COUNTIES, WHERE 40 PERCENT OR MORE OF THE POPULATION QUALIFIES FOR THE REFUNDABLE TAX CREDIT. DREXEL UNIVERSITY, THE MATH FORUM, PHILADELPHIA, PA (23-1352630) THE MATH FORUM ENHANCED TOOLS FOR FINANCIAL LITERACY THE MATH FORUM@DREXEL, A LEADING ONLINE PROVIDER OF MATHEMATICS EDUCATION AND TEACHER PROFESSIONAL DEVELOPMENT, CONVENED MATHEMATICIANS, MATH TEACHERS AND FINANCIAL LITERACY EXPERTS TO WORK WITH EACH OTHER AND WITH STUDENTS TO ADDRESS FINANCIAL LITERACY CONCEPTS WITHIN THE CORE MATHEMATICS CURRICULUM. ESTES PARK PUBLIC LIBRARY FOUNDATION, ESTES PARK, CO (74-2385213) ESTES VALLEY LIBRARY IS PARTNERING WITH THE LOCAL PUBLIC SCHOOLS TO IMPROVE THE FINANCIAL LITERACY OF CHILDREN AND TEENS THROUGHOUT THE REGION. THE LIBRARY IS ALSO SPONSORING PROGRAMS THAT PROVIDE PRACTICAL MONEY SKILLS TO YOUNG PARENTS AND YOUNG WORKERS IN THE AREA. FIRST NATIONS DEVELOPMENT INSTITUTE, LONGMONT, CO (54-1254491) PARTNERING WITH THE OFFICE OF THE SPECIAL TRUSTEE: NEW DISTRIBUTION CHANNELS FOR INVESTOR EDUCATION FIRST NATIONS DEVELOPMENT INSTITUTE IS PARTNERING WITH THE U.S. DEPARTMENT OF THE INTERIOR'S OFFICE OF THE SPECIAL TRUSTEE FOR AMERICAN INDIANS TO CREATE NEW MARKETING AND DISTRIBUTION CHANNELS TO MEET THE FINANCIAL AND INVESTOR EDUCATION NEEDS OF NATIVE AMERICANS. THIS PROJECT BUILDS UPON TWO PREVIOUS FOUNDATION GRANTS TO FIRST NATIONS THAT RESULTED IN THE DEVELOPMENT OF PRINT AND ONLINE VERSIONS OF A CURRICULUM, BUILDING NATIVE COMMUNITIES: INVESTING FOR THE FUTURE, AND TWO COMPLEMENTARY RESOURCES, AN INSTRUCTOR GUIDE AND A RESOURCE GUIDE, DESIGNED FOR TRAINERS WHO PROVIDE INVESTOR EDUCATION TO NATIVE AMERICANS. FLORIDA INTERNATIONAL UNIVERSITY COLLEGE OF LAW, MIAMI, FL (65-0177616) THE FLORIDA INTERNATIONAL UNIVERSITY COLLEGE OF LAW WILL START THE FIRST LAW SCHOOL CLINIC IN THE SOUTH THAT WILL PROVIDE LEGAL ADVICE AND OTHER HELP TO A LARGE AND GROWING NUMBER OF UNDERSERVED INVESTORS. FIU LAW SCHOOL HAS THE HIGHEST PERCENTAGE OF HISPANIC LAW STUDENTS IN THE NATION, AND BILINGUAL COMMUNITY OUTREACH EFFORTS BY CLINIC STUDENTS MAY REMOVE A CRITICAL BARRIER FOR THOSE SEEKING DISPUTE RESOLUTION SERVICES. FOUR BANDS COMMUNITY FUND, EAGLE BUTTE, SD (46-0456528) THE FOUR BANDS COMMUNITY FUND SERVES THE CHEYENNE RIVER INDIAN RESERVATION, LOCATED IN A REMOTE, IMPOVERISHED AREA IN NORTH CENTRAL SOUTH DAKOTA. IN PARTNERSHIP WITH THE CONSUMER CREDIT COUNSELING SERVICE OF THE BLACK HILLS, FOUR BANDS WILL CONDUCT A MULTI-FACETED PROGRAM TO PROVIDE CREDIT REPAIR AND OTHER FINANCIAL EDUCATION TO THE STAFF OF 12 COMMUNITY ORGANIZATIONS AND THE PEOPLE THEY SERVE. THEY WILL ALSO UNDERTAKE A RESERVATION-WIDE PUBLIC AWARENESS CAMPAIGN TO HIGHLIGHT THE FINANCIAL EDUCATION SERVICES AVAILABLE THROUGH COMMUNITY PARTNER ORGANIZATIONS. FRIENDS OF THE BURLINGTON COUNTY LIBRARY, WESTAMPTON, NJ (22-3346975) BURLINGTON COUNTY LIBRARY SYSTEM IS PARTNERING WITH RUTGERS UNIVERSITY COOPERATIVE EXTENSION, THE NEW JERSEY COALITION FOR FINANCIAL EDUCATION AND THE LIBRARY/TECHNOLOGY CENTER AT NEARBY JOINT BASE MCGUIRE-DIX-LAKEHURST TO OFFER A VARIETY OF PERSONAL FINANCE AND INVESTING WORKSHOPS FOR ADULTS. THESE FACE-TO-FACE SESSIONS ARE SUPPLEMENTED BY CUSTOMIZABLE WEB-BASED LEARNING RESOURCES. MARTIN COUNTY LIBRARY SYSTEM, STUART, FL, FISCAL AGENT - FRIENDS OF THE BLAKE LIBRARY IN STUART, INC. (59-6155142) MARTIN COUNTY LIBRARY SYSTEM AND THE UNIVERSITY OF FLORIDA COOPERATIVE EXTENSION ARE PROVIDING A GRADUATED SERIES OF PERSONAL FINANCE AND INVESTING WORKSHOPS FOR LOWER-INCOME RESIDENTS REFERRED BY HABITAT FOR HUMANITY AND LOCAL SOCIAL SERVICES AGENCIES. THE PROGRAMMING EMPHASIZES THE FINANCIAL CONSIDERATIONS PERTAINING TO HOMEOWNERSHIP, SAVING FOR CHILDREN'S EDUCATION, PLANNING FOR RETIREMENT AND REBUILDING A NEST EGG. FRIENDS OF THE BOLIVAR COUNTY LIBRARY SYSTEM, CLEVELAND, MS (51-0161498) THE LIBRARY SYSTEM IS COLLABORATING WITH MISSISSIPPI EXTENSION SERVICES TO PROVIDE FINANCIAL EDUCATION PROGRAMS FOR LOW-INCOME WOMEN AND THEIR CHILDREN LIVING IN THE MISSISSIPPI DELTA. CHILDREN LIVING IN THE MISSISSIPPI DELTA. |
| FRIENDS OF THE CHESTERFIELD COUNTY PUBLIC LIBRARY, CHESTERFIELD, VA | (52-1245254) | CHESTERFIELD COUNTY PUBLIC LIBRARY IS WORKING WITH LOCAL ELEMENTARY SCHOOLS, PTAS AND THE FEDERAL RESERVE BANK OF RICHMOND TO HELP MOMS AND THEIR CHILDREN UNDERSTAND THE MATHEMATICS OF PERSONAL FINANCE AND INVESTING. FRIENDS OF THE FLORENCE COUNTY LIBRARY SYSTEM, FLORENCE, SC (57-0697650) FLORENCE COUNTY LIBRARY SYSTEM IS PURSUING A MULTIGENERATIONAL FINANCIAL LITERACY STRATEGY IN PARTNERSHIP WITH THE SOUTH CAROLINA DEPARTMENT OF CONSUMER AFFAIRS AND OTHERS. THE PROJECT REACHES CHILDREN, TEENS/YOUNG ADULTS, SENIORS AND LOW- TO MODERATE-INCOME RESIDENTS TO HELP THEM BECOME FINANCIALLY SAVVY AND ALERT THEM TO MONEY SCAMS. FRIENDS OF THE GEORGETOWN COUNTY LIBRARY, GEORGETOWN, SC (57-0918036) GEORGETOWN COUNTY LIBRARY AND ITS PARTNERS ARE EDUCATING THE COMMUNITY ABOUT MONEY MATTERS THROUGH A SERIES OF CREATIVE, MULTIMEDIA ACTIVITIES THAT REFERENCE THE COUNTY'S ECONOMIC HISTORY AND THAT APPEAL TO THE DIFFERENT LEARNING STYLES AND INTERESTS OF RESIDENTS OF ALL AGES. THE LIBRARY AND PARTNER ORGANIZATIONS ARE CONDUCTING OUTREACH TO AREA CHILDCARE PROVIDERS, THE COUNTY DETENTION CENTER, THE LOCAL BOARD OF DISABILITIES AND SPECIAL NEEDS, AND OTHER AGENCIES FOR THE PURPOSE OF IMPROVING THE BASIC FINANCIAL LITERACY OF THOSE IN NEED. FRIENDS OF THE LIBRARY OF APACHE JUNCTION, APACHE JUNCTION, AZ (86-0508052) THE APACHE JUNCTION PUBLIC LIBRARY IS PARTNERING WITH THE UNIVERSITY OF ARIZONA TO OFFER FINANCIAL LITERACY CLASSES AT THE LIBRARY AND OTHER COMMUNITY LOCATIONS, EMPHASIZING THE SMALL STEPS RESIDENTS CAN TAKE TO LEAD A HEALTHY LIFESTYLE, BOTH PHYSICALLY AND FINANCIALLY. FRIENDS OF THE NEWTON FREE LIBRARY, NEWTON, MA (04-2691337) NEWTON FREE LIBRARY IS SPONSORING A SUSTAINABLE, INTER-GENERATIONAL RETIREMENT PLANNING CLUB FOR WOMEN IN PARTNERSHIP WITH COMMUNITY ORGANIZATIONS, AND TRAINING REFERENCE LIBRARIANS ON FINANCIAL LITERACY IN PARTNERSHIP WITH THE BOSTON COLLEGE CENTER FOR RETIREMENT RESEARCH. FRIENDS OF THE VIRGINIA BEACH PUBLIC LIBRARY, VIRGINIA BEACH, VA (54-1064465) THE LIBRARY IS DELIVERING IN-PERSON AND VIRTUAL FINANCIAL LITERACY LEARNING OPPORTUNITIES FOR YOUTH AGES 12 TO 18 AS THEY PREPARE TO ASSUME FINANCIAL RESPONSIBILITIES IN THEIR LIVES. IT IS ALSO CONDUCTING OUTREACH TO A NEARBY HIGH SCHOOL FOR PREGNANT TEENS AND A JUVENILE DETENTION CENTER TO HELP EDUCATE RESIDENTS ON MONEY MANAGEMENT BASICS. GREEN MOUNTAIN UNITED WAY, MONTPELIER, VT (03-0261384) GREEN MOUNTAIN UNITED WAY WILL MOBILIZE COALITION PARTNERS TO CREATE LASTING CHANGE IN THE AVAILABILITY OF FINANCIAL EDUCATION FOR THE RESIDENTS OF SIX RURAL VERMONT COUNTIES. PARTNERS WILL CONDUCT TRAIN-THE-PROFESSIONAL WORKSHOPS FOR LOCAL SOCIAL SERVICE AGENCY STAFF, AND PROVIDE A VARIETY OF WORKPLACE-BASED AND PUBLICLY AVAILABLE FINANCIAL EDUCATION WORKSHOPS. THE PROJECT WILL BE SUPPORTED BY A COMPREHENSIVE SOCIAL MARKETING CAMPAIGN. GREENSBORO PUBLIC LIBRARY FOUNDATION, GREENSBORO, NC (56-2037761) THE GRANT ENABLES PUBLIC LIBRARIANS TO COLLABORATE WITH STUDENTS AND FACULTY FROM THE ECONOMICS AND FINANCE DEPARTMENT OF NORTH CAROLINA A&T STATE UNIVERSITY TO PROVIDE A SEQUENTIAL FINANCIAL LITERACY EXPERIENCE FOR LIBRARY USERS AGES 13 TO 18. THE LIBRARY IS ALSO MAKING AVAILABLE ONE-ON-ONE COUNSELING AT ITS NEIGHBORHOOD BRANCHES ON SELECTED TOPICS OF IMPORTANCE TO TEENS AS THEY BEGIN TO TAKE ON FINANCIAL RESPONSIBILITIES IN THEIR LIVES. WASHINGTON-CENTERVILLE PUBLIC LIBRARY, CENTERVILLE, OH, FISCAL AGENT - HITHERGREEN SENIOR CENTER OF CENTERVILLE/WASHINGTON TOWNSHIP (31-1050721) WASHINGTON-CENTERVILLE PUBLIC LIBRARY AND THE NEARBY HITHERGREEN SENIOR CENTER ARE ESTABLISHING A SERIES OF FINANCIAL SEMINARS GEARED TOWARDS ADULTS AGES 50 AND OVER IN THE REGION. AMONG VARIOUS TOPICS, THE SEMINARS ADDRESS HEALTHY FINANCES AND ESTABLISHING SAVING AND INVESTING GOALS, RECOVERING FROM JOB LOSS AND OTHER FINANCIAL CHALLENGES, IRAS, INVESTING STRATEGIES FOR SENIORS, IDENTITY THEFT AND FINANCIAL SCAMS TARGETING SENIORS. HOWARD UNIVERSITY SCHOOL OF LAW, WASHINGTON, D.C. (53-0204707) THE HOWARD UNIVERSITY SCHOOL OF LAW WILL EXPAND ITS CLINICAL LAW CENTER TO INCLUDE AN INVESTOR JUSTICE AND EDUCATION CLINIC. THE CLINIC WILL PROVIDE LEGAL ADVICE TO UNDERSERVED INVESTORS AND WILL CONDUCT INVESTOR EDUCATION WORKSHOPS AND SEMINARS IN COOPERATION WITH OUTSIDE COMMUNITY ASSOCIATIONS, FAITH-BASED ORGANIZATIONS AND GOVERNMENT AGENCIES. INNOVATIONS FOR POVERTY ACTION, NEW HAVEN, CT (06-1660068) EVALUATING THE EFFECTIVENESS OF FINANCIAL EDUCATION AND COMMITMENT SAVINGS CONTRACTS RESEARCHERS ARE INVESTIGATING THE EXTENT TO WHICH COMMITMENT CONTRACTS IMPROVE THE FINANCIAL WELL-BEING OF LOW-INCOME INDIVIDUALS. BASED ON BEHAVIORAL FINANCE, COMMITMENT CONTRACTS HELP CLIENTS ACQUIRE THE DISCIPLINE TO REACH SELF-DEFINED GOALS. CREDIT WHERE CREDIT IS DUE, A NEW YORK CITY NONPROFIT THAT FACILITATES WEALTH BUILDING THROUGH FINANCIAL EDUCATION AND COMMUNITY PARTNERSHIPS WITH CREDIT UNIONS AND OTHERS, IS HELPING RESEARCHERS FACILITATE RANDOMIZED CONTROLLED FIELD EXPERIMENTS AND PROVIDING FINANCIAL EDUCATION. JACKSON DISTRICT LIBRARY, JACKSON, MI (38-2184437) JACKSON DISTRICT LIBRARY IS PARTNERING WITH UNITED WAY AND OTHER COMMUNITY AGENCIES TO DELIVER FINANCIAL EDUCATION RESOURCES IN THE COUNTY AND IMPROVE COMMUNICATIONS ABOUT FINANCES AMONG LOW- AND MODERATE-INCOME HOUSEHOLDS. PARTICIPANTS DEVELOP A FINANCIAL PLAN, INCREASE THEIR KNOWLEDGE ABOUT MONEY MANAGEMENT AND INVESTING, AND GAIN BETTER ACCESS TO LEARNING RESOURCES WITH SUPPORT FROM A PERSONAL FINANCE HELP DESK SERVICE AND CLASSES BASED ON THE FDIC MONEY SMART CURRICULUM. JACKSONVILLE PUBLIC LIBRARIES FOUNDATION INC., JACKSONVILLE, FL (59-2836110) THE LIBRARY IS PARTNERING WITH LOCAL AGENCIES AND ORGANIZATIONS TO HELP MEET THE FINANCIAL EDUCATION NEEDS OF NORTHEAST FLORIDA RESIDENTS-INCLUDING VETERANS AND MILITARY FAMILIES-USING WORKSHOPS AND OTHER COMMUNITY LEARNING EVENTS. LAWRENCE PUBLIC LIBRARY FOUNDATION, LAWRENCE, KS (48-1179872) LAWRENCE PUBLIC LIBRARY IS INCORPORATING A NEW FINANCIAL WELLNESS CLINIC INTO ITS BUSINESS CENTER TO PROVIDE STRAIGHTFORWARD MONEY MANAGEMENT AND INVESTING INFORMATION TO LOW-INCOME FAMILIES. THIS IS ACCOMPLISHED THROUGH PARTNERSHIPS WITH THE LOCAL SCHOOL DISTRICT AND SOCIAL SERVICES AGENCIES, A SERIES OF EDUCATIONAL WORKSHOPS AND A PROMOTIONAL CAMPAIGN USING BOTH TRADITIONAL AND SOCIAL MEDIA. LIBRARIES OF EASTERN OREGON, FOSSIL, OR (93-1280400) THIS CONSORTIUM IS REACHING POPULATION CENTERS IN 15 RURAL COMMUNITIES IN UMATILLA AND MORROW COUNTIES WITH IN-PERSON AND DISTANCE LEARNING ON A WIDE RANGE OF FINANCIAL LITERACY TOPICS. IT IS DISSEMINATING PROGRAMS FOR SENIOR CITIZENS AND LATINO AND NATIVE AMERICAN RESIDENTS THROUGH PARTNERSHIPS WITH COMMUNITY COLLEGES AND OTHER AGENCIES, AND CREATING PERSONAL FINANCE BOOK CLUBS IN ENGLISH AND SPANISH. THE LIBRARY FOUNDATION, SERVING THE PEOPLE OF MULTNOMAH COUNTY LIBRARY, PORTLAND, OR (93-1190983) THE LIBRARY IS PARTNERING WITH THE OREGON SOCIETY OF CPAS AND COMMUNITY ORGANIZATIONS TO HELP TWO HIGH-NEED AUDIENCES: "PARENTS AT RISK" (DEFINED AS LOW INCOME AND LOW LITERACY) AND SENIORS SUSCEPTIBLE TO FINANCIAL FRAUD. THE PROJECT IS PILOTING A "ROAD SHOW" MODEL WITH A TEAM THAT VISITS RETIREMENT CENTERS, HEAD START PROGRAMS, AND OTHER NONPROFITS TO PROVIDE HANDS-ON LEARNING ON FINANCIAL TOPICS SUCH AS MONEY MANAGEMENT AND ONLINE BANKING. |
| MAINE CENTERS FOR WOMEN, WORK & COMMUNITY, AUGUSTA, ME (01-6000769) | MAINE CENTERS FOR WOMEN, WORK & COMMUNITY WILL ADD MODULES ON INVESTING AND RETIREMENT PLANNING TO THEIR BASIC MONEY MANAGEMENT CURRICULUM, INTEGRATE FINANCIAL PLANNING AND INVESTING SKILLS AS CORE COMPETENCIES IN THEIR WORKFORCE DEVELOPMENT PROGRAMS, AND CREATE MORE EFFECTIVE MARKETING AND PROMOTIONAL TOOLS TO SUPPORT THEIR WORK. MARTINSBURG-BERKELEY COUNTY PUBLIC LIBRARIES, MARTINSBURG, WV (55-0364258) THE MARTINSBURG-BERKELEY COUNTY PUBLIC LIBRARIES ARE PARTNERING WITH THE BLUE RIDGE COMMUNITY AND TECHNICAL COLLEGE TO ESTABLISH A FOUR-PART FINANCIAL LITERACY PROGRAM SERVING COUNTY RESIDENTS UNDER THE THEME "FREE-WAY TO FINANCIAL INFORMATION." THE PROGRAM INCLUDES A FAMILY FINANCIAL FAIR FEATURING SERVICES AVAILABLE IN THE EASTERN PANHANDLE OF WEST VIRGINIA, SPECIAL PROGRAMMING ON FINANCIAL BASICS FOR CHILDREN AND TEENS DELIVERED WITH ASSISTANCE FROM THE SHENANDOAH VALLEY DISCOVERY MUSEUM, FINANCIAL SEMINARS FOR ADULTS AND A "CASH CORRIDOR" ON THE LIBRARY SYSTEM'S WEBSITE WITH MULTIMEDIA PERSONAL FINANCE RESOURCES. MIDDLE COUNTRY LIBRARY FOUNDATION, CENTERREACH, NY (11-3388626) IN PARTNERSHIP WITH AREA MUSEUM EDUCATORS, MIDDLE COUNTRY PUBLIC LIBRARY IS CREATING INTERACTIVE AND TRAVELING EXHIBITS ON MONEY-RELATED TOPICS FOR STUDENTS IN GRADES KINDERGARTEN THROUGH GRADE FIVE. THE EXHIBITS ARE INSTALLED IN THE LIBRARY'S "MUSEUM CORNER" AND ACCOMPANIED BY A SCHEDULE OF FAMILY FINANCIAL LITERACY NIGHTS WITH CONCURRENT WORKSHOPS FOR PARENTS AND CHILDREN. THE LIBRARY IS ALSO DESIGNING PERSONAL FINANCE KITS THAT INCLUDE BOOKS, MEDIA AND GAMES FOR CLASSROOM AND HOME USE. MILWAUKEE PUBLIC LIBRARY FOUNDATION, MILWAUKEE, WI (39-1610233) THE MILWAUKEE PUBLIC LIBRARY IS LEVERAGING PARTNERSHIPS WITH MAKE A DIFFERENCE-WISCONSIN, THE MILWAUKEE DEPARTMENT ON AGING AND MONEY SMART WEEK TO IMPROVE FINANCIAL LITERACY AMONG HIGH SCHOOL STUDENTS, ADDRESS THE INVESTOR PROTECTION NEEDS OF SENIOR CITIZENS AND PROVIDE BASIC FINANCIAL EDUCATION TO THE BROADER COMMUNITY. MONROE COUNTY PUBLIC LIBRARY FOUNDATION, BLOOMINGTON, IN (35-1892355) THE MONROE COUNTY PUBLIC LIBRARY IS TARGETING TEENS AND 20-SOMETHINGS, INCLUDING SPANISH SPEAKERS, THROUGH 15 WORKSHOPS AND 15 "TALK-TO-AN-EXPERT" SESSIONS ON FIVE HIGH-PRIORITY TOPICS: BUDGETING, SAVING, SPENDING, MANAGING CREDIT AND DEBT, AND INVESTING. PROGRAMS OCCUR AT THE LIBRARY AND VARIOUS COUNTY LOCATIONS, AND ARE PRODUCED WITH ASSISTANCE FROM UNITED WAY, IN PART TO LEVERAGE COMMUNITYWIDE ATTENTION TO INDIANA SAVES AND MONEY SMART WEEK. MONTANA STATE UNIVERSITY EXTENSION, BOZEMAN, MT (81-6010045) MONTANA STATE UNIVERSITY EXTENSION WILL PROVIDE AN EDUCATION SERIES ON BASIC MONEY MANAGEMENT, INVESTMENTS, RETIREMENT PLANNING AND ESTATE PLANNING FOR EMPLOYEES OF MSU SATELLITE CAMPUSES AND OTHER WORKING MONTANANS. SESSIONS WILL BE OFFERED IN-PERSON IN BOZEMAN, AND AS "LIVE WEBINARS" TO RURAL HOST LOCATIONS AND INDIVIDUALS. SESSIONS WILL BE ARCHIVED ONLINE TO ACCOMMODATE VIEWING AT TIMES THAT ARE CONVENIENT FOR PARTICIPANTS UNABLE TO ATTEND THE LIVE WEBINARS. SANTA CLARA COUNTY LIBRARY, LOS GATOS, CA, FISCAL AGENT - MORGAN HILL COMMUNITY FOUNDATION (80-0001382) THE SANTA CLARA COUNTY LIBRARY PROJECT EMPHASIZES STAFF TRAINING ON FINANCIAL TOPICS AND RELATED REFERENCE RESOURCES. THIS TRAINING IS MADE AVAILABLE TO LIBRARIANS THROUGHOUT THE REGION. IN ADDITION TO STAFF TRAINING, PATRON WORKSHOPS ON INVESTING LITERACY ARE OFFERED AT SANTA CLARA'S SEVEN LIBRARIES. THE PUBLIC WORKSHOPS ARE COMPLEMENTED BY A PERSONAL FINANCE PORTAL ADDED TO THE LIBRARY'S WEBSITE, OFFERING RELEVANT MATERIALS AND ACCESS TO ELECTRONIC DATABASES. EMMET O'NEAL LIBRARY, MOUNTAIN BROOK, AL FISCAL AGENT - MOUNTAIN BROOK LIBRARY FOUNDATION (58-2094979) THE EMMET O'NEAL LIBRARY IS COLLABORATING WITH THE UNIVERSITY OF ALABAMA-BIRMINGHAM AND JUNIOR ACHIEVEMENT TO OFFER MULTIGENERATIONAL PROGRAMMING OF BROAD APPEAL TO THE COMMUNITY. THE PROGRAM BEGINS WITH PERFORMANCES BY A PROFESSIONAL STORYTELLER, WHO PREPARES NARRATIVES ABOUT MONEY AND INVESTING AND HOW THEY CAN AFFECT RELATIONSHIPS, PARTICULARLY AMONG FRIENDS AND FAMILY. THIS IS FOLLOWED BY A SERIES OF EDUCATIONAL OFFERINGS TARGETING TEENS, YOUNG FAMILIES AND WOMEN WHO ARE RECENTLY WIDOWED OR DIVORCED AND HAVE NEVER BEFORE HANDLED FINANCES. NATIONAL COUNCIL ON AGING (13-1932384) THE NATIONAL COUNCIL ON AGING AND ITS PARTNERS WILL CREATE, PROMOTE AND MAINTAIN AN ONLINE DECISION TOOL TO HELP OLDER HOMEOWNERS (AGES 55 AND OVER) UNDERSTAND OPTIONS AND RISKS FOR USING HOME EQUITY AS A RETIREMENT RESOURCE. NATIONAL LABOR COLLEGE, SILVER SPRING, MD (52-0895834) INVESTOR EDUCATION FOR WORKING FAMILIES THE NATIONAL LABOR COLLEGE IS PARTNERING WITH UNIONS FROM MULTIPLE INDUSTRY SECTORS, AS WELL AS APPRENTICESHIP PROGRAMS, TO PROVIDE ACCESS TO FACE-TO-FACE AND ONLINE INVESTOR EDUCATION TO UNION MEMBERS AND THEIR FAMILIES. NORTH CAROLINA STATE UNIVERSITY, RALEIGH, NC (56-6000756) RESEARCHERS AT NC STATE AND GEORGE MASON UNIVERSITY ARE PARTNERING WITH A TECHNOLOGY FIRM TO CREATE A USER-FRIENDLY FRAUD DETECTION TOOL BASED ON COMPARISONS OF FINANCIAL AND NON-FINANCIAL DISCLOSURES IN SEC 10K FILINGS. THE TEAM USED A PREVIOUS FOUNDATION GRANT TO DESIGN AND VALIDATE A PROTOTYPE TOOL. THE SUCCESS OF THAT EFFORT FORMS THE BASIS FOR THE CURRENT PROJECT, WHICH WILL RATIONALIZE THE TOOL AND MAKE IT WIDELY AVAILABLE TO REGULATORS, AUDITORS AND INVESTORS. NORTH CAROLINA STATE UNIVERSITY, RALEIGH, NC (56-6000756) EVALUATING EMPLOYER-PROVIDED FINANCIAL EDUCATION PROGRAMS FOR PRE-RETIREES RESEARCHERS FROM NC STATE UNIVERSITY WILL COLLABORATE WITH HUMAN RESOURCES MANAGERS TO EVALUATE THE EXTENT TO WHICH WORKPLACE EDUCATION PROGRAMS IMPROVE EMPLOYEES' ABILITY TO UNDERSTAND THEIR OPTIONS RELATING TO TIMING OF RETIREMENT, THE AGE AT WHICH TO BEGIN SOCIAL SECURITY AND PENSION BENEFITS, MEDICARE, ANNUITIZATION, AND OTHER MATTERS PERTAINING TO ASSET MANAGEMENT IN RETIREMENT. THE PROJECT WILL RESULT IN PRACTICAL PAPERS, RESEARCH PAPERS, AND A TEMPLATE FOR HELPING EMPLOYERS EVALUATE THEIR PRE-RETIREMENT PROGRAMS. THE OHIO STATE UNIVERSITY RESEARCH FOUNDATION, COLUMBUS, OH (31-6401599) RESEARCHERS ARE INVESTIGATING THE EFFECTIVENESS OF BEHAVIORAL FINANCE STRATEGIES IN IMPROVING SAVING AND RETENTION RATES IN INDIVIDUAL DEVELOPMENT ACCOUNT (IDA) PROGRAMS. THE PROJECT IS ALSO EXAMINING THE EXTENT TO WHICH IDA PROGRAM PARTICIPATION INFLUENCES THE USE OF NON-MAINSTREAM FINANCIAL SERVICES (E.G. PAY-DAY LENDING) AND IDENTIFYING IDA BEST PRACTICES. ORANGE COUNTY LIBRARY DISTRICT, ORLANDO, FL (59-2045143) ORANGE COUNTY LIBRARY SYSTEM IS CONTINUING ITS PARTNERSHIP WITH THE GRADUATE SCHOOL OF BUSINESS AT ROLLINS COLLEGE TO SERVE THE FINANCIAL AND INVESTOR EDUCATION NEEDS OF LOWER-INCOME AND SPANISH-SPEAKING RESIDENTS, ESPECIALLY WAGE EARNERS IN THE REGION'S HOSPITALITY INDUSTRY. PACE UNIVERSITY SCHOOL OF LAW, NEW YORK, NY (13-5562314) EXPERTS AT PACE LAW SCHOOL HAVE DEVELOPED AND ARE DISTRIBUTING AN EDUCATIONAL GUIDE TO HELP SMALL, INDIVIDUAL INVESTORS UNDERSTAND THEIR LEGAL RIGHTS AND RESPONSIBILITIES IN ORDER TO AVOID DISPUTES, OR SEEK RESOLUTION THROUGH ARBITRATION OR MEDIATION IN THE EVENT OF A DISPUTE. PELHAM PUBLIC LIBRARY, PELHAM, AL, FISCAL AGENT - PELHAM LIBRARY GUILD (26-4800985) THE UNIVERSITY OF ALABAMA, JEFFERSON STATE COMMUNITY COLLEGE AND THE ALABAMA COOPERATIVE EXTENSION CENTER ARE ASSISTING PELHAM PUBLIC LIBRARY IN DELIVERING A FINANCIAL LITERACY INITIATIVE FOR YOUTH, ADULTS, SENIORS AND SPANISH-SPEAKING LIBRARY PATRONS. PEPPERDINE UNIVERSITY SCHOOL OF LAW, MALIBU, CA (95-1644037) THE STRAUS INSTITUTE FOR DISPUTE RESOLUTION AT PEPPERDINE UNIVERSITY LAW SCHOOL IS ONE OF THE WORLD'S LEADING EDUCATIONAL PROGRAMS IN THE FIELD OF DISPUTE RESOLUTION. A NEW INVESTOR ADVOCACY CLINIC WILL COMPLEMENT THE LAW SCHOOL'S EXTENSIVE PROGRAM BY PROVIDING STUDENTS WITH THE OPPORTUNITY TO REPRESENT UNDERSERVED INVESTORS IN THE LOS ANGELES AREA. | |
| PIKE COUNTY PUBLIC LIBRARY DISTRICT FRIENDS, PIKEVILLE, KY | (80-0415553) | THE LIBRARY DISTRICT IS DEVELOPING MULTIGENERATIONAL FINANCIAL EDUCATION PROGRAMS FOR CONSUMERS; PARTNERING WITH THE SCHOOL SYSTEM TO PRESENT PROGRAMS IN ALL ELEMENTARY AND HIGH SCHOOLS IN THIS RURAL COUNTY; AND COLLABORATING WITH THE PIKE COUNTY EXTENSION OFFICE TO OFFER MONTHLY PROGRAMS ON PLANNING FOR RETIREMENT. REUBEN MCMILLAN FREE LIBRARY ASSOCIATION, YOUNGSTOWN, OH (34-6003201) IN PARTNERSHIP WITH COMMUNITY AGENCIES, THE PUBLIC LIBRARY OF YOUNGSTOWN AND MAHONING COUNTY IS UNDERTAKING A COORDINATED FINANCIAL LITERACY INITIATIVE FOR THE COUNTY'S LOW- AND MODERATE-INCOME FAMILIES, WITH A FOCUS ON EARNED INCOME TAX CREDIT PREPARATION ASSISTANCE AND HELPING PARENTS SAVE AND INVEST FOR THEIR CHILDREN'S EDUCATION. RISE FOUNDATION, INC., MEMPHIS, TN (31-1712061) THE RISE FOUNDATION WILL DELIVER THEIR COMMON CENTS AND MAKING CENTS WORKPLACE FINANCIAL EDUCATION PROGRAMS FOR THE STAFF MEMBERS OF 54 NONPROFIT ORGANIZATIONS THAT PARTNER WITH THE UNITED WAY OF THE MID-SOUTH. THE EDUCATION SERIES BEGINS WITH BASIC MONEY MANAGEMENT, INCLUDING BUDGET DEVELOPMENT AND GOAL SETTING, AND PRESENTS AN OVERVIEW OF THE CONCEPTS NEEDED TO BUILD PERSONAL WEALTH. SCHAUMBURG TOWNSHIP DISTRICT LIBRARY, SCHAUMBURG, IL FISCAL AGENT - ROTARY CLUB OF SCHAUMBURG-HOFFMAN ESTATES CHARITABLE FOUNDATION, INC. (36-3891070) SCHAUMBURG TOWNSHIP DISTRICT LIBRARY IS PRODUCING AND MARKETING AN INVESTOR EDUCATION WEB PORTAL, INCLUSIVE OF VIDEOS INTRODUCING TEEN AND ADULT PATRONS TO INVESTING-RELATED LIBRARY COLLECTIONS AND REFERENCE SERVICES; AND CREATING A TRAVELING MULTIMEDIA EXHIBIT TO SHARE WITH OTHER ILLINOIS LIBRARIES THAT PROVIDES HIGH-IMPACT VISUAL LESSONS ABOUT INVESTING. SANTA CRUZ COMMUNITY VENTURES, SANTA CRUZ, CA (77-0247648) SANTA CRUZ COMMUNITY VENTURES WILL COLLABORATE WITH A COALITION OF LOCAL PARTNERS TO EXPAND THE ECONOMIC JUSTICE PROJECT-A SOCIAL SERVICE MODEL INTEGRATING FINANCIAL AND CONSUMER EDUCATION WITH LEGAL AND OTHER SUPPORT SERVICES-TO HELP 2,000 LOW- TO MODERATE-INCOME HISPANIC ADULTS IMPROVE THEIR FINANCIAL AND ECONOMIC PROSPECTS. STEP UP SAVANNAH, SAVANNAH, GA (30-0526014) STEP UP SAVANNAH WILL BUILD ON A SUCCESSFUL PILOT EFFORT TO INTEGRATE FINANCIAL EDUCATION CLASSES AT EMPLOYER SITES FROM THE HOSPITALITY, HEALTHCARE, WAREHOUSING AND GOVERNMENT SECTORS, AND WILL DESIGN A NEW REFERRAL SYSTEM TO STEER INDIVIDUALS FROM EMPLOYER PROGRAMS TO NEIGHBORHOOD CENTERS FOR WORKING FAMILIES FOR MORE INDIVIDUALIZED ASSISTANCE. SUFFOLK UNIVERSITY LAW SCHOOL, BOSTON, MA (04-2133255) THE SUFFOLK UNIVERSITY LAW SCHOOL WILL EXPAND ITS NATIONALLY RECOGNIZED IN-HOUSE CLINICAL LEGAL EDUCATION PROGRAM TO INCLUDE A NEW INVESTOR ADVOCACY CLINIC. IN ADDITION TO PROVIDING LEGAL HELP TO UNDERSERVED INVESTORS, PARTICIPATING LAW STUDENTS WILL BE REQUIRED TO CONDUCT INVESTOR EDUCATION PROGRAMS AT LOCAL COMMUNITY CENTERS AND LIBRARIES. TRUSTEES OF DARTMOUTH COLLEGE, HANOVER, NH (02-0222111) A STUDY OF U.S. FINANCIAL LITERACY: EVIDENCE AND POLICY IMPLICATIONS THE RESEARCH IS ANALYZING NEW AND FORTHCOMING DATA FROM LARGE-SET NATIONAL SURVEYS TO UNDERSTAND BETTER THE RELATIONSHIP BETWEEN FINANCIAL LITERACY AND FINANCIAL WELL-BEING. THE STUDY IS EXAMINING THE LINK BETWEEN FINANCIAL LITERACY AND KEY BEHAVIORS, SUCH AS RETIREMENT PLANNING, WEALTH ACCUMULATION, INVESTING, AND MANAGING DEBT. RECOMMENDATIONS WILL FOCUS ON REACHING GROUPS MOST IN NEED OF FINANCIAL EDUCATION AND DESIGNING EFFECTIVE EDUCATIONAL PROGRAMS AND CONSUMER PROTECTION POLICIES. TRUSTEES OF PRINCETON UNIVERSITY, PRINCETON, NJ (21-0634501) PITFALLS OF INVESTOR DECISION-MAKING IN SOCIAL INTERACTION CONTEXT PRINCETON UNIVERSITY RESEARCHERS WILL EXAMINE THE IMPACT OF SOCIAL INTERACTIONS WITH FINANCIAL PROFESSIONALS ON INVESTOR DECISION-MAKING. THE GRANT WILL STUDY HOW FINANCIAL PROFESSIONALS MAY EXERT INFLUENCE ON INVESTORS BY (1) USING THE TRAPPINGS OF STATUS AND AUTHORITY, ESPECIALLY PROFESSIONAL DESIGNATIONS, TO GAIN INVESTORS' TRUST; (2) ELICITING MANIC EXUBERANCE FROM INVESTORS BY PROVIDING TOO MUCH INFORMATION TOO FAST; AND (3) PLACING SOCIAL PRESSURE ON INVESTORS. THE GRANT ALSO WILL TEST THE EFFECTIVENESS OF METHODS TO REDUCE THE INFLUENCE OF THESE BIASES. UNITED NEGRO COLLEGE FUND (UNCF) SPECIAL PROGRAMS CORPORATION, FAIRFAX, VA (54-1980487) UNCF SPECIAL PROGRAMS IS UNDERTAKING A KNOWLEDGE, ATTITUDES AND BEHAVIORS STUDY FOR THE PURPOSE OF INFORMING THE DESIGN OF A COMPREHENSIVE FINANCIAL EDUCATION PROGRAM FOR STUDENTS OF HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCUS). MORE THAN TWO DOZEN HBCUS ARE PARTICIPATING. THE EFFORT BEGINS WITH A REVIEW OF EXISTING RESEARCH AND INCLUDES SURVEYS, FOCUS GROUPS AND OTHER MARKET RESEARCH AMONG STUDENTS, FACULTY AND ALUMNI/AE. DELIVERABLES INCLUDE A DETAILED PROGRAMMATIC PLAN FOR MEETING THE FINANCIAL LITERACY NEEDS OF HBCU STUDENTS AGES 18 TO 24. UNITED WAY CAPITAL AREA, AUSTIN, TX (74-1193439) AS PART OF A LARGER "BANK ON CENTRAL TEXAS" INITIATIVE, THE UNITED WAY CAPITAL AREA (UWCA) WILL PROVIDE GUIDANCE TO EMPLOYERS ON HOW TO IMPLEMENT WORKPLACE FINANCIAL STABILITY STRATEGIES, INCLUDING: DIRECT DEPOSIT; AUTOMATIC SAVINGS THROUGH PAYROLL DEDUCTIONS; A DEFAULT REQUIREMENT TO OPT-OUT OF DEFERRED SAVINGS PLANS; AND EITC OUTREACH. AS THE CENTERPIECE OF THE PROJECT, UWCA WILL PARTNER WITH FOUNDATION COMMUNITIES, A LOCAL NONPROFIT ORGANIZATION, TO ENCOURAGE EMPLOYERS TO OFFER FINANCIAL EDUCATION WORKSHOPS AND ONE-ON-ONE FINANCIAL COACHING TO EMPLOYEES. UNITED WAY OF MIAMI DADE CENTER FOR FINANCIAL STABILITY, MIAMI, FL (59-0830840) THE UNITED WAY CENTER FOR FINANCIAL STABILITY WILL REACH OUT TO UNDER-EMPLOYED AND UN-EMPLOYED INDIVIDUALS AND FAMILIES IN MIAMI-DADE COUNTY THROUGH TWO SOUTH FLORIDA WORKFORCE OFFICES, TAX PREPARATION SITES AND LOCAL SCHOOLS. THE PROGRAM WILL PROVIDE CROSS-TRAINING FOR AGENCY VOLUNTEERS AND STAFF TO ENABLE THEM TO PROVIDE BASIC EDUCATION FOR THE FAMILIES THEY SERVE, AND THE ABILITY TO REFER CLIENTS TO THE CENTER FOR MORE COMPREHENSIVE COUNSELING AND COACHING. UNITED WAY FOR SOUTHEASTERN MICHIGAN, DETROIT, MI (20-3099071) THE UNITED WAY FOR SOUTHEASTERN MICHIGAN WILL COLLABORATE WITH THE DETROIT LOCAL INITIATIVES SUPPORT CORPORATION TO SUPPORT A NETWORK OF FINANCIAL COACHES WORKING IN LOW-INCOME COMMUNITIES IN AND AROUND DETROIT TO ASSIST INDIVIDUAL FAMILIES WITH UNDERSTANDING AND OVERCOMING THE BARRIERS TO BUILDING WEALTH. UNITED WAY OF BUFFALO AND ERIE COUNTY, BUFFALO, NY (16-0743969) UNITED WAY OF BUFFALO AND ERIE COUNTY (UWBEC) COORDINATES THE CASH COALITION-COMPOSED OF MORE THAN 60 ORGANIZATIONS WORKING TOGETHER ON ISSUES OF FINANCIAL STABILITY. IN COOPERATION WITH THE COALITION, THE UWBEC WILL UNDERTAKE A TWO-PRONGED APPROACH TO PROVIDING FINANCIAL EDUCATION AT THE NEIGHBORHOOD AND ORGANIZATIONAL LEVELS. AT THE NEIGHBORHOOD LEVEL, INDIVIDUALS FROM BLOCK CLUBS, FAITH-BASED GROUPS AND COMMUNITY GROUPS WILL BE RECRUITED AND TRAINED TO PROVIDE BASIC FINANCIAL EDUCATION RELATED TO BANKING AND BUDGETING. AT AN ORGANIZATIONAL LEVEL, SELECTED STAFF MEMBERS FROM COOPERATING NONPROFITS WILL BE TRAINED TO FACILITATE MORE IN-DEPTH AND MORE ADVANCED FINANCIAL AND INVESTOR EDUCATION PROGRAMMING. UNITED WAY OF CENTRAL AND NORTHEASTERN CONNECTICUT, HARTFORD, CT (60-0646653) THE UNITED WAY OF CENTRAL AND NORTHEASTERN CONNECTICUT, IN COOPERATION WITH THE HARTFORD ASSET BUILDING COLLABORATIVE, WILL EXPAND THEIR SUCCESSFUL ONE-ON-ONE BUDGET COACHING PROGRAM TO MEET THE NEEDS OF NEIGHBORHOOD GROUPS, FAITH COMMUNITIES, AND WORKPLACES. UNITED WAY OF CHESTER COUNTY, WEST CHESTER, PA (23-2131877) THE UNITED WAY OF CHESTER COUNTY AND THE CHESTER COUNTY FINANCIAL STABILITY PARTNERSHIP WILL PILOT TEST AN EFFORT TO REACH LOW-AND MODERATE-INCOME WORKING INDIVIDUALS AND FAMILIES THROUGH CHILDCARE PROVIDERS. DURING THE PILOT, FINANCIAL EDUCATION WORKSHOPS AND ONE-ON-ONE COACHING WILL BE OFFERED TO THE FAMILIES AND STAFF OF SEVEN CHILD CARE CENTERS LOCATED IN NEIGHBORHOODS WITH THE LOWEST MEDIAN HOUSEHOLD INCOME IN CHESTER COUNTY. UNITED WAY OF CHITTENDEN COUNTY, SOUTH BURLINGTON, VT (03-0217229) THE UNITED WAY OF CHITTENDEN COUNTY WILL LEAD A COALITION OF COMMUNITY PARTNERS IN DEVELOPING AND TESTING TWO ON-SITE WORKPLACE-BASED FINANCIAL AND INVESTOR EDUCATION PROGRAMS AT 18 SITES. THIS PROJECT BUILDS ON AN EXISTING RELATIONSHIP WITH EMPLOYERS THROUGH THE WORKING BRIDGES PROJECT, WHICH DEVELOPS AND PILOTS INNOVATIVE STRATEGIES TO IMPROVE THE RETENTION, PROMOTION AND FINANCIAL STABILITY OF THEIR EMPLOYEES. UNITED WAY OF DANE COUNTY, MADISON, WI (39-0817532) IN PARTNERSHIP WITH THE UNIVERSITY OF WISCONSIN, THE UNITED WAY OF DANE COUNTY WILL PILOT A FINANCIAL COACHING PROGRAM FOR LOW-INCOME INDIVIDUALS AND FAMILIES USING THE GROW YOUR GREEN MONEY MANAGEMENT PROGRAM AND WORKBOOK. GROW YOUR GREEN IS A BASIC FINANCIAL EDUCATION PROGRAM DEVELOPED BY EDUCATORS AT THE UNIVERSITY OF WISCONSIN-EXTENSION OF DANE COUNTY. |
| UNITED WAY OF GREATER CHATTANOOGA, CHATTANOOGA, TN | (62-0565962) | THE UNITED WAY OF GREATER CHATTANOOGA WILL PROVIDE FINANCIAL EDUCATION TRAINING FOR THE STAFF AND LEADERSHIP OF CHURCHES, NON-PROFIT AGENCIES AND COMMUNITY PARTNERS THAT PROVIDE FINANCIAL ASSISTANCE TO LOW AND MODERATE INCOME INDIVIDUALS AND FAMILIES, PROVIDE TRAINERS FOR "LUNCH AND LEARN" SESSIONS SPONSORED BY LOCAL NON-PROFIT AGENCIES AND THEIR CLIENTS, PROVIDE ONE-ON-ONE DEBT REDUCTION COUNSELING AND FINANCIAL COACHING FOR CLIENTS REFERRED BY PARTNER NON-PROFITS WHO HAVE RECEIVED TRAINING, AND UNDERTAKE MARKETING EFFORTS TO REACH OUTLYING RURAL COUNTIES AS WELL AS TARGETED URBAN NEIGHBORHOODS. UNITED WAY OF GREATER KANSAS CITY, KANSAS CITY, MO (44-0545817) THE UNITED WAY OF GREATER KANSAS CITY WILL COLLABORATE WITH FIVE SERVICE PROVIDERS TO DEVELOP A MODEL FOR INTEGRATING FINANCIAL EDUCATION INTO SERVICES FOR HOMELESS OR NEAR-HOMELESS YOUNG ADULTS, 16-24 YEARS OF AGE, WHO ARE EITHER EMPLOYED OR HAVE A STABLE SOURCE OF INCOME. ONE OUTCOME OF THE PROJECT WILL BE A REPORT ON LESSONS-LEARNED AND BEST PRACTICES THAT WILL BE SHARED WITH OTHER ORGANIZATIONS THAT SERVE AT-RISK YOUNG PEOPLE. UNITED WAY OF MARION COUNTY, OCALA, FL (59-0946642) THE UNITED WAY OF MARION COUNTY WILL CONDUCT A TWO-YEAR CAMPAIGN TO BREAK DOWN THE BARRIERS TO PARTICIPATION IN THE MARION COUNTY PROSPERITY CAMPAIGN BY SPANISH-SPEAKING RESIDENTS IN RURAL AREAS OF THE COUNTY. THE PROJECT WILL EMPHASIZE FREE TAX ASSISTANCE FOR LOW-INCOME SPANISH-SPEAKING CLIENTS AND WILL PROVIDE SPANISH-LANGUAGE MONEY SMART WORKSHOPS. THE PROJECT WILL BE SUPPORTED BY A COMPREHENSIVE SOCIAL MARKETING CAMPAIGN. UNITED WAY OF TAMPA BAY, TAMPA, FL (59-3725701) THE UNITED WAY OF TAMPA BAY WILL ADDRESS THE PERVASIVE USE OF TAX REFUND ANTICIPATION LOANS IN TWO LOW-INCOME NEIGHBORHOODS IN THE TAMPA BAY AREA THROUGH A COMBINATION OF NEIGHBOR-TO-NEIGHBOR OUTREACH, CLASSROOM EDUCATION, INDIVIDUALIZED FINANCIAL COACHING AND A SOCIAL MARKETING CAMPAIGN. UNITED WAY OF THE MIDLANDS, OMAHA, NE (47-0376605) THE UNITED WAY OF THE MIDLANDS FINANCIAL STABILITY PARTNERSHIP WILL COLLABORATE WITH FOUR LOCAL NONPROFIT ORGANIZATIONS TO OFFER COMPREHENSIVE FINANCIAL EDUCATION TO FAMILIES, PARTICULARLY SINGLE MOTHERS, EARNING LESS THAN 200 PERCENT OF THE FEDERAL POVERTY LEVEL. AMONG OTHER FEATURES, THE GRANT PROGRAM WILL PILOT AN INNOVATIVE, OPEN-SOURCE FINANCIAL MANAGEMENT SOFTWARE SPECIFICALLY CREATED FOR NONPROFIT ORGANIZATIONS AND THEIR CLIENTS. UNITED WAY OF TUCSON AND SOUTHERN ARIZONA; TUCSON, AZ (86-0098932) THE UNITED WAY OF TUCSON AND SOUTHERN ARIZONA WILL BUILD ON THE SUCCESS OF ITS PROSPERITY CENTER MODEL BY HELPING COMMUNITIES PROVIDE FINANCIAL COACHING AND ASSET-BUILDING OPPORTUNITIES FOR LOW-INCOME INDIVIDUALS AND FAMILIES THROUGH PILOT PROSPERITY NEIGHBORHOODS. UNITED WAY OF WEST CENTRAL MISSISSIPPI; VICKSBURG, MS (64-0330259) UNITED WAY OF WEST CENTRAL MISSISSIPPI WILL PARTNER WITH LOCAL COMMUNITY GROUPS IN THE LOWER DELTA REGION TO DESIGN AND PROVIDE A SUSTAINABLE BASIC MONEY MANAGEMENT EDUCATION PROGRAM FOR LOW-INCOME CITIZENS. UNIVERSITY OF KENTUCKY / MICHIGAN 4H FOUNDATION, LEXINGTON, KY (38-1539997) IN CONJUNCTION WITH VIRGINIA TECH, MICHIGAN STATE UNIVERSITY, AND THE UNIVERSITY OF TENNESSEE, THE UNIVERSITY OF KENTUCKY IS DEVELOPING AN INVESTMENT CLUB CURRICULUM, LEADERS' MANUAL, AND COMPANION INVESTMENT WEB SITE FOR THE ESTABLISHMENT OF 4-H INVESTMENT CLUBS. IMPLEMENTATION MATERIALS WILL BE AVAILABLE THROUGHOUT THE NATIONAL 4-H NETWORK. THE PROJECT SUPPORTS CLUB LEADERS BY PROVIDING ONGOING FINANCIAL LESSONS AND LEARNING RESOURCES. UNIVERSITY OF MIAMI SCHOOL OF LAW (59-0624458) THE UNIVERSITY OF MIAMI SCHOOL OF LAW WILL ADD AN INVESTOR ADVOCACY CLINIC TO ITS CLINICAL PROGRAM EXPANDING THE OPPORTUNITIES FOR STUDENTS TO SERVE INVESTORS RESIDING IN SOUTH FLORIDA. THE SCHOOL WILL ALSO BUILD ON ITS OUTSTANDING COMMUNITY OUTREACH PROGRAMS TO OFFER PUBLIC SEMINARS ON INVESTING AND RELATED ISSUES, INCLUDING DETECTING ABUSES AND POTENTIAL FRAUDULENT INVESTMENTS. UNIVERSITY OF TENNESSEE, KNOXVILLE, TN (62-6001636) INVESTOR EDUCATION FOR COLLEGE STUDENTS A COALITION OF FIVE LAND-GRANT UNIVERSITIES LED BY THE UNIVERSITY OF TENNESSEE IS PROVIDING FINANCIAL EDUCATION TO COLLEGE STUDENTS THROUGH A COMBINATION OF ONLINE COURSEWORK AND FACE-TO-FACE INSTRUCTION. THE PROJECT LEVERAGES LEARNING RESOURCES AND MARKETING MATERIALS CREATED WITH AN EARLIER FOUNDATION GRANT, AS WELL AS THE COOPERATIVE EXTENSION SYSTEM'S E-LEARNING PLATFORM. DELIVERABLES INCLUDE A RIGOROUS, THIRD-PARTY EVALUATION USING A QUASI-EXPERIMENTAL METHODOLOGY. UNIVERSITY OF TENNESSEE, KNOXVILLE, TN (62-6001636) LOVE YOUR MONEY THE UNIVERSITY OF TENNESSEE AND ITS PARTNERS ARE ENHANCING THE LOVE YOUR MONEY FINANCIAL EDUCATION PROGRAM FOR COLLEGE STUDENTS (WWW.LOVEYOURMONEY.ORG) TO ALLOW INSTRUCTORS TO MONITOR AND ASSESS INDIVIDUAL STUDENT PROGRESS, THUS MAKING THE TOOL MORE SUITABLE AS A COURSE ASSIGNMENT. THE PROJECT TEAM IS ALSO UNDERTAKING MARKETING ACTIVITIES THAT ENGAGE FACULTY MEMBERS AND OTHERS RESPONSIBLE FOR SHAPING STUDENT LEARNING AND COLLEGE LIFE EXPERIENCES, EXPANDING THE NUMBER OF CAMPUSES USING LOVE YOUR MONEY, AND CONTINUING TO EVALUATE THE PROGRAM TO DETERMINE ITS LONGER-TERM EFFECTIVENESS IN PROMOTING POSITIVE FINANCIAL BEHAVIOR AS UNDERCLASSMEN PROGRESS THROUGH SUBSEQUENT COLLEGE YEARS. WOMEN'S INSTITUTE FOR A SECURE RETIREMENT (WISER), WASHINGTON, D.C. (52-1997317) IN PARTNERSHIP WITH THE AMERICAN NURSES ASSOCIATION (ANA), WISER IS CREATING AN INVESTOR EDUCATION PROGRAM FOR NURSES. THE PROJECT BEGAN WITH A SURVEY OF NURSES TO IDENTIFY IMPORTANT ISSUES, AND INCLUDES A NURSE INVESTOR EDUCATION REPORT WITH BENCHMARKING TO THE NATIONAL NURSE WORKFORCE. WISER AND ANA ARE TAILORING EXISTING INVESTOR EDUCATION MATERIALS AND CONDUCTING FINANCIAL EDUCATION SEMINARS FOR THE TARGET AUDIENCE. |
| OTHER CHANGES IN NET ASSETS OR FUND BALANCES | FORM 990, SCHEDULE XI, LINE 5 | OTHER CHANGES IN NET ASSETS OR FUND BALANCES PRIMARILY RELATE TO UNREALIZED GAIN/(LOSS) ON INVESTMENTS AND AS WELL AS REVERSAL OF GRANT EXPENSES RELATING TO PRIOR PERIODS. |
| ESTIMATED AVERAGE HOURS PER WEEK | FORM 990, PART VII, COLUMN B - ESTIMATED AVERAGE PER WEEK | THE OFFICERS / KEY EMPLOYEES LISTED IN FORM 990, PART VII, DEVOTE AN AVERAGE TOTAL OF 60 HOURS PER WEEK TO THE FILING ORGANIZATION AND ANY OR ALL OF THE FOLLOWING RELATED ORGANIZATIONS: FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., FINRA REGULATION, INC. AND FINRA DISPUTE RESOLUTION, INC. INC. |
| INDEPENDENT CONTRACTORS - DESCRIPTION OF SERVICES | FORM 990, PART VII, SECTION B | GMMB, INC. - PROVIDES PUBLIC RELATIONS ASSISTANCE FOR TARGETED PROJECT OUTREACH. CHANNEL ONE LLC - PROVIDES BROADCAST, PRINT, MARKETING AND WEB SERVICES AND MATERIALS IN SUPPORT OF THE TEEN FINANCIAL LITERACY INITIATIVE (KNOWN AS "GENERATION MONEY") ACTIVE IN MIDDLE AND HIGH SCHOOLS NATIONWIDE. US EXPRESS FREIGHT SYSTEMS - PROVIDES MATERIAL FULFILLMENT, INCLUDING WAREHOUSING, DISTRIBUTING AND SHIPPING THE FOUNDATION'S PRINTED MATERIALS ACROSS THE COUNTRY, AND MILITARY BASES AROUND THE WORLD. APPLIED RESEARCH & CONSULTING LLC - PROVIDES CONSULTING AND RESEARCH FOR THE MILITARY FINANCIAL EDUCATION PROJECT, INVESTOR PROTECTION CAMPAIGN, AND THE NATIONAL FINANCIAL CAPABILITY STUDY. PHOENIX LITHOGRAPHING - PROVIDES PRINTING SERVICES FOR SAI.ORG COLLATERAL MATERIALS. |
| GOVERNING BODY AND MANAGEMENT | FORM 990, PART VI, LINE 1A | PURSUANT TO THE FINRA INVESTOR EDUCATION FOUNDATION'S BY-LAWS, THE CORPORATION SHALL HAVE A COMMITTEE OF THE BOARD OF DIRECTORS (THE "FUNDING REQUEST COMMITTEE") WHICH SHALL AT ALL TIMES CONSIST OF ONE NON-PUBLIC DIRECTOR AND ONE PUBLIC DIRECTOR, AND SHALL HAVE THE POWER AND AUTHORITY OF THE BOARD OF DIRECTORS TO REVIEW, EVALUATE, AND APPROVE REQUESTS FOR FUNDING IN AN AMOUNT GREATER THAN TEN THOUSAND DOLLARS ($10,000) BUT LESS THAN ONE HUNDRED THOUSAND DOLLARS ($100,000). ALL REQUESTS EQUAL TO OR GREATER THAN ONE HUNDRED THOUSAND DOLLARS ($100,000) ARE APPROVED BY THE BOARD OF DIRECTORS. |
Schedule R IRS990ScheduleR
Form990 Schedule R Part II Form990ScheduleRPartII (3 entries)
| Address Line1AddressUS/AddressLine1 | CityAddressUS/City | StateAddressUS/State | ZIP CodeAddressUS/ZIPCode | EINEIN | Primary ActivitiesPrimaryActivities | Legal Domicile StateLegalDomicileState | Exempt Code SectionExemptCodeSection | Public Charity StatusPublicCharityStatus | Business Name Line1DirectControllingEntityName/BusinessNameLine1 | Controlled OrgControlledOrg |
|---|---|---|---|---|---|---|---|---|---|---|
| FINANCIAL IND REGULATORY AUTHORITY INC | ||||||||||
| 1735 K STREET NW | WASHINGTON | DC | 200061506 | 530088710 | REGULATORY | DE | 501(C)(6) | N/A | NA | false |
| FINRA REGULATION INC | ||||||||||
| 1735 K STREET NW | WASHINGTON | DC | 200061506 | 521959501 | REGULATORY | DE | 501(C)(6) | N/A | FINRA | true |
| FINRA DISPUTE RESOLUTION INC | ||||||||||
| 1735 K STREET NW | WASHINGTON | DC | 200061506 | 522187577 | ARBITRATION | DE | 501(C)(6) | N/A | FINRA | true |
Form990 Schedule R Part IV Form990ScheduleRPartIV (2 entries)
| Address Line1AddressUS/AddressLine1 | CityAddressUS/City | StateAddressUS/State | ZIP CodeAddressUS/ZIPCode | EINEIN | Primary ActivityPrimaryActivity | Legal Domicile StateLegalDomicileState | Business Name Line1DirectControllingEntityName/BusinessNameLine1 | Type Of EntityTypeOfEntity | Share Of Total IncomeShareOfTotalIncome | Share Of EOY AssetsShareOfEOYAssets | Percentage OwnershipPercentageOwnership |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NEW NASD HOLDING INC | |||||||||||
| 1735 K STREET NW | WASHINGTON | DC | 200061506 | 522307595 | HOLDING COMPANY | DE | FINRA | C-CORP | 0 | 0 | 0.00000 |
| SECURITIES DEALERS RISK PURCHASING GROUP | |||||||||||
| 1735 K STREET NW | WASHINGTON | DC | 200061506 | 521953595 | INSURANCE | DE | FINRA | C-CORP | 0 | 0 | 0.00000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Receipt Of Int Ann Rents Royalties | false | ReceiptOfIntAnnRentsRoyalties |
| Gift Grant Or Cap Contr To Other Org | false | GiftGrantOrCapContrToOtherOrg |
| Gift Grant Or Cap Contr Fr Other Org | true | GiftGrantOrCapContrFrOtherOrg |
| Loans Or Guarantees To Other Org | false | LoansOrGuaranteesToOtherOrg |
| Loans Or Guarantees From Other Org | false | LoansOrGuaranteesFromOtherOrg |
| Sale Of Assets To Other Org | false | SaleOfAssetsToOtherOrg |
| Purchase Of Assets From Other Org | false | PurchaseOfAssetsFromOtherOrg |
| Exchange Of Assets | false | ExchangeOfAssets |
| Rental Of Facilities To Other Orgs | false | RentalOfFacilitiesToOtherOrgs |
| Rental Of Facilities Fr Other Orgs | false | RentalOfFacilitiesFrOtherOrgs |
| Perform Of Services For Other Orgs | false | PerformOfServicesForOtherOrgs |
| Perform Of Services By Other Orgs | false | PerformOfServicesByOtherOrgs |
| Sharing Of Facilities | true | SharingOfFacilities |
| Sharing Of Paid Employees | true | SharingOfPaidEmployees |
| Reimbursement Paid To Other Org | true | ReimbursementPaidToOtherOrg |
| Reimbursement Paid By Other Org | false | ReimbursementPaidByOtherOrg |
| Other Transfer To Other Org | false | OtherTransferToOtherOrg |
| Other Transfer From Other Org | false | OtherTransferFromOtherOrg |
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