2012-09-13T10:41:22-07:00 2011-10-31 JUSTIN KANG CPA PLLC 15408 NORTHERN BLVD STE 2-A FLUSHING NY 113545030 990 2010-11-01 320178959 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SECU 2123131251 120 BROADWAY NEW YORK NY 10271 MARK JEONG 2123131251 2012-09-13 JUSTIN KANG X 2010 2016-02-24 21:20:13Z T TIMOTHY RYAN 120 BROADWAY 35TH FLOOR NEW YORK NY 10271 64291432 false X www.sifma.org X 2006 NY The Securities Industry and Financial Markets Association (SIFMA) brings together the shared interests of hundreds of securities firms, banks and asset managers. SIFMA's core mission is to support a strong financial industry. The most significant activities SIFMA undertook this year pertained to advocacy on Dodd-Frank Wall Street Reform and Consumer Protection Act rule making - work strategically funded principally from association reserves ($9.1m and $2.5m in current and prior year respectively). 39 38 208 6054 27640 0 62954068 61954051 116986 103319 2015853 2234062 65086907 64291432 84600 0 32807690 33330166 0 0 34247548 37247263 67055238 70662029 -1968331 -6370597 83288316 68486624 38874824 32687336 44413492 35799288 X SIFMA's mission is to develop policies and practices which strengthen false false CONTINUED DEVELOPMENT AND MAINTENANCE OF BEST PRACTICES - SEE SCHEDULE O ADVOCACY EFFORTS - SEE SCHEDULE O CONFERENCES AND SEMINARS - SEE SCHEDULE O Continued serving as a source of market information, including statistics on many facets of the markekplace and publishing statistics on many facets of the markekplace and publishing statistics on many facets of the markekplace and publishing false false false false true false false false false false true false false false true true true false false false false false false false false false false true false true false false false false false false false false false false false false false true false false false true 135 0 true 208 true true true false false false false false false false false false X 39 38 false false false false true true true true true false false true true true true true true true true false X MARK JEONG 2123131251 120 BROADWAY 35TH FLOOR NEW YORK NY 102710080 X JOHN G TAFT 2.00 X 0 0 0 BENARD B BEAL 2.00 X 0 0 0 ALEXANDRA LEBENTHAL 2.00 X 0 0 0 FRANK P BARRON 1.00 X 0 0 0 FRANCOIS O BARTHELEMY 1.00 X 0 0 0 ROSEMARY T BERKERY 1.00 X 0 0 0 JOAN BINSTOCK 1.00 X 0 0 0 CURT BRADBURY JR 1.00 X 0 0 0 BENJAMIN L BRIGEMAN 1.00 X 0 0 0 RICHARD F BRUECKNER 2.00 X 0 0 0 KENT CHRISTIAN 1.00 X 0 0 0 JERRY DEL MISSIER 1.00 X 0 0 0 DIDIER DESCAMPS 1.00 X 0 0 0 WILLIAM DWYER 1.00 X 0 0 0 KENNETH D GIBBS 1.00 X 0 0 0 JOHN R GIDMAN 2.00 X 0 0 0 THOMAS HARNETT 1.00 X 0 0 0 ROBERT W HAWLEY JR 1 X CHET HELCK 1 X DAVID B HELLER 1 X NOE HINOJOSA JR 2 X DOUG HODGE 1 X WILLIAM JOHNSTONE 1 X THOMAS M JOYCE 1 X EDWARD J KELLY III 1 X RONALD J KRUSZEWSKI 1 X MICHAEL LYUBLINSKY 1 X BLYTHE MASTERS 1 X NAOKI MATSUBA 1 X 9645946 520480 71 false true false DAVIS POLK & WARDWELL 450 LEXINGTON AVENUE NEW YORK NY 10017 Legal 2549336 BRUNSWICK GROUP LLC 140 E 45TH STREET NEW YORK NY 10017 Consulting 708492 INTERMEDIA EVENTS 50 E 42ND STREET NEW YORK NY 10017 Consulting 622500 CLEARY GOTTLIEB STEEN ONE LIBERTY PLAZA NEW YORK NY 10006 Legal 502773 THREESPOT MEDIA LLC 33333 14TH STREET NW WASHINGTON DC 20100 Consulting 407929 26 Member Dues 541900 49874949 Conferences 541900 11761595 11761595 Publication Sales 541800 317507 27640 289867 61954051 103319 103319 278525 278525 Proceeds from share service agreement 541800 1705704 1705704 Other Income 541800 249833 249833 1955537 64291432 49874949 27640 14388843 84600 7620085 20204933 4160363 1344785 13940759 227630 1104957 1430178 1152993 5308660 1474349 7866741 2921429 Subscription and books 422277 Postage and Messenger 165800 Bank charges and Credit Card Processing 374228 Dues and registration 183159 Contribution and sponsorship 73130 600973 70662029 2808317 1417858 25613527 12700403 2148686 1151712 453803 2721684 34425102 15289280 21781893 19135822 30463263 31358400 18827 745 83288316 68486624 13504376 7200088 2453176 2665903 22917272 22821345 38874824 32687336 X 44413492 35799288 44413492 35799288 83288316 68486624 -6370597 -2243607 X false true true X false false false true 49874949 5230000 5230000 7481242 21352462 5501821 15850641 13072640 9787459 3285181 19135822 Deferred rent and construction allowance 9313826 Employee benefits payable 10365496 Unamortized loss on abandoned property 3142023 22821345 64291432 70662029 -6370597 895137 -25403 -3138744 -2269010 -8639607 65166569 875137 875137 64291432 64291432 73826176 25403 3138744 3164147 70662029 70662029 Pt X The Association is exempt from federal income taxes under the provision of Section 501(c)(6) of the INTERNAL REVENUE CODE. ACCORDINGLY, THE ASSOCIATION IS NOT SUBJECT TO INCOME TAXES EXCEPT TO THE EXTENT IT HAS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO ITS EXEMPT PURPOSES. THE ASSOCIATION UTILIZES A THRESHOLD OF MORE LIKELY THAN NOT FOR RECOGNITION AND DERECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE HAS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO ITS EXEMPT PURPOSES. THE ASSOCIATION UTILIZES A THRESHOLD OF MORE LIKELY THAN NOT FOR RECOGNITION AND DERECOGNITION OF Pt XI Line 8 Post-retirement related chanes other than net periodic post retirement benefit cost - $1,281,373 Pt XI Line 8 Amortization of curtailment - $1,129,391 Transfer out(Societies) - $737,980 Pt XIII Line 2d Post-retirement related chanes other than net periodic post retirement benefit cost - $1,281,373 Amortization of curtailment - $1,129,391 Transfer out(Societies) - $737,980 true SCHOLARSHIP AMERICA ONE SCHOLARSHIP WAY SAINT PETER MN 56082 042296967 501c(3) 53100 FMV 0 Prgm. Support LOWER MANHATTAN CULTURAL COUNCIL 125 MAIDEN LANE 2 NEW YORK NY 10038 237348782 501c(3) 10000 FMV 0 Prgm. Support NCSL FOUNDATION FOR STATE LEGISLATURES 7700 EAST FIRST PLACE DENVER CO 80230 742232576 501c(3) 7500 FMV 0 Prgm. Support CONGRESSIONAL HISPANIC CAUCUS INSTITUTE 911 2ND STREET NE WASHINGTON DC 20002 521114225 501c(3) 7000 FMV 0 Prgm. Support NATIONAL PRESS FOUNDATION 12100 CONNECTICUT AVE NW SUITE 310 WASHINGTON DC 20036 521069481 501c(3) 7000 FMV 0 Prgm. Support 5 0 SIFMA provides support to charitable organizations to help those organizations further their exempt programs. X X true true X X X false false false T TIMOTHY RYAN 2510476 436000 29400 23889 2999765 3002672 DAVID B KRASNER 401662 175000 29400 15717 621779 496282 RANDOLPH C SNOOK 604818 395000 31269 19549 1050636 1021305 KENNETH E BENTSEN 791674 175000 29400 20041 1016115 377976 IRA D HAMMERMAN 447233 330000 29000 20239 826472 803782 ILEANE ROSENTHAL 409740 150000 29400 2799 591939 585129 CHERYL L CRISPEN 135341 50000 22241 8114 215696 RICHARD A DORFMAN 506014 150000 29400 13694 699108 TIMOTHY W CAMERON 393120 100000 60000 29400 16610 599130 MICHAEL DECKER 316788 175000 29400 16609 537797 CORY N STRUPP 375000 100000 29400 125 504525 504400 JOSEPH W SACK 408080 50000 31269 14415 503764 514910 Pt I Line 1a SIFMA provided a housing allowance for the benefit of Timothy W. Cameron, Managing Director; the housing allowance was included as taxable compensation on the individual's form W-2 and is reported on schedule J, Part II, Col.B(iii). SIFMA provided first class air travel when traveling for SIFMA business for T. Timothy Ryan, President and CEO; the first class air travel was excluded as taxable compensation on the individuals's form W-2 because it was incurred for business reasons. Pt VI-B, Line 12c See attachment Pt VI-B, Line 15 See attachment Pt VI-C, Line 19 See attachment Pt VI-A, Line 6 See attachment Pt VI-B, Line 11a See attachment Pt VI-A, Line 7a See attachment Pt VI-A, Line 7b See attachment Form 990, Part III, Line 4d CONTINUED SERVING AS A SOURCE OF MARKET INFORMATION, INCLUDING Form 990, Part IX, Line 24f OTHER 255629. PRINTING 345344. SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) 120 BROADWAY 35TH FL NEW YORK NY 10271 521087193 NOT FOR PROFIT CHARITY DE 501(C)(3) 9 false false false false false false false false false false false true false true true false true true true SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) kq 1610806 actual collected SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) pr 1431997 actual reimbursed SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) mn 395866 Estimated