2011-09-30T20:51:24-05:00 2010-12-31 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2010-01-01 360753125 The Financial Services Roundtable FINA 2022894322 1001 Pennsylvania Ave NW No 500S Washington DC 20004 Steve Bartlett 2022894322 2011-09-30 1 Nicole Simon CPA 7038930300 2011-09-30 2010 2016-03-07 17:11:31Z Steve Bartlett 1001 Pennsylvania Ave NW No 500S Washington DC 20004 22176264 0 X www.fsround.org X 1994 DC Promotes the business of banking and financial services and encourages the development of sound banking and financial policies and practices. 28 28 53 23 0 0 2339660 522000 16900960 21516616 89852 76907 1383545 60741 20714017 22176264 0 0 0 0 9719956 10467988 0 0 0 11022977 13665627 20742933 24133615 -28916 -1957351 12426655 16469348 6302372 10629121 6124283 5840227 X Promotes the business of banking and financial services and encourages the development of sound banking and financial policies and practices. 0 0 Identifies impacts of pending legislation and regulation affecting the financial services industry and develops and advocates solutions to major policy concerns. The Anthony T. Cluff Research Fund was established for the purpose of researching issues impacting financial service interests and of concern to members. BITS addresses issues at the intersection of financial services, technology and public policy, where industry cooperation serves the public good, such as critical infrastructure protection, fraud prevention, and the safety of financial services. The Housing Policy Council Fund was established for the purpose to determine and influence the most critical public policy issues that shape a vibrant and competitive mortgage and housing marketplace. 0 1 0 1 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 75 0 53 1 0 0 0 0 0 0 X 28 28 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 DC X Richard M Whiting 2022894322 1001 Pennsylvania Ave NW 500S Washington DC 20004 Richard K Davis 1.00 X X 0 0 0 James E Rohr 1.00 X X 0 0 0 Christopher M Condron 1.00 X X 0 0 0 James M Wells III 1.00 X X 0 0 0 Robert P Kelly 1.00 X X 0 0 0 Thomas A James 1.00 X 0 0 0 John G Stumpf 1.00 X 0 0 0 James M Cracchiolo 1.00 X 0 0 0 Edmund F Kelly 1.00 X 0 0 0 Joseph W Saunders 1.00 X 0 0 0 Laurence D Fink 1.00 X 0 0 0 Kelly S King 1.00 X 0 0 0 Aubrey B Patterson 1.00 X 0 0 0 J Michael Shepherd 1.00 X 0 0 0 Frederick H Waddell 1.00 X 0 0 0 Ellen Alemany 1.00 X 0 0 0 Richard L Carrion 1.00 X 0 0 0 Larry Zimpleman 1.00 X 0 0 0 Thomas J Wilson 1.00 X 0 0 0 Robert Wolf 1.00 X 0 0 0 Masaaki Tanaka 1.00 X 0 0 0 Thomas J McInerney 1.00 X 0 0 0 Robert W Selander 1.00 X 0 0 0 Russell Goldsmith 1.00 X 0 0 0 George Borst 1.00 X 0 0 0 Mark Fetting 1.00 X 0 0 0 Richard E Anthony 1.00 X 0 0 0 John J Degnan 1.00 X 0 0 0 Steve Bartlett 55.00 X 1755400 0 51694 Richard M Whiting 55.00 X 735449 0 51694 John Dalton 55.00 X 946584 0 72482 Leigh Williams 55.00 X 904128 0 53298 Peter Ludgin 55.00 X 207227 0 48371 Scott Talbott 55.00 X 421049 0 54613 Paul Smocer 55.00 X 285293 0 26800 Paul Leonard 55.00 X 287604 0 55609 Daniel Schutzer 55.00 X 253556 0 15018 John Fricke 55.00 X 175304 0 8119 5971594 0 437698 10 0 1 0 Barnett Sivon & Natter PC 1155 15th Street NW Ste 1500 Washington DC 20005 Consulting 619107 Maslansky Luntz Partners 200 Varick Street Suite 600 New York NY 10014 Consulting 562152 Adrian Harpool Associates 1820 Madison Avenue Baltimore MD 21217 Radio Advertisement 263128 Breaux Lott Leadership Group 607 14th Street NW Suite 520 Washington DC 20005 Consulting 240000 Gregory P Wilson Consulting PO Box 239 Great Falls VA 22066 FSIC Consulting 171828 8 522000 522000 Membership dues 900099 15390522 15390522 Changing the dialogue 900099 2418431 2418431 Coalition income 900099 1888283 1888283 Meetings & conferences 900099 808049 808049 Community Service 900099 535000 535000 476331 476331 21516616 76907 76907 Other income 900099 60741 60741 60741 22176264 21577357 0 76907 4826327 4551472 311326 397637 381226 165884 21930 1816427 361782 169571 1132501 340055 1368622 248852 69536 Changing the Dialogue 4999491 Coalition expenditures 1782042 Hope Now outreach 508490 Agents for Change 403386 Community service 277058 24133615 7943519 5737342 1770506 3820244 141713 2880647 105957 91196 2967325 2297449 868881 669876 1334721 1417882 261358 1852161 12426655 16469348 3290091 3008061 1689240 6858892 1323041 762168 6302372 10629121 X 6124283 5840227 6124283 5840227 12426655 16469348 X -1957351 1673295 X X 0 1 1 X 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 15390522 7060000 7060000 7800000 -740000 1834431 1205387 629044 1132894 1092062 40832 669876 Deposits 161517 Assets held under deferred compensation plan 115808 Due from ITAC 51111 Prepaid pension asset 1523725 1852161 Refundable advances 630970 Deferred rent 131198 762168 22176264 24133615 -1957351 -10498 1683793 1673295 -284056 22165766 -10498 -10498 22176264 0 22176264 24133615 0 24133615 0 24133615 Description of Uncertain Tax Positions Under FIN 48: Part X: The Roundtable had no uncertain tax positions during the year ended December 31, 2010. Part XI, Line 8 - Other Adjustments: Change in benefit plan obligation X 0 0 X X X X X 0 0 0 Steve Bartlett 1005400 0 750000 0 0 0 34300 0 17394 0 1807094 0 0 0 Richard M Whiting 635449 0 100000 0 0 0 34300 0 17394 0 787143 0 0 0 John Dalton 695718 0 250866 0 0 0 34300 0 38182 0 1019066 0 0 0 Leigh Williams 472807 0 431321 0 0 0 34300 0 18998 0 957426 0 0 0 Peter Ludgin 182227 0 25000 0 0 0 28058 0 20313 0 255598 0 0 0 Scott Talbott 321049 0 100000 0 0 0 34300 0 20313 0 475662 0 0 0 Paul Smocer 205293 0 80000 0 0 0 26800 0 0 0 312093 0 0 0 Paul Leonard 273604 0 14000 0 0 0 34300 0 21309 0 343213 0 0 0 Daniel Schutzer 213556 0 40000 0 0 0 15018 0 0 0 268574 0 0 0 John Fricke 155304 0 20000 0 0 0 8119 0 0 0 183423 0 0 0 Part I, Line 1a Social club memberships are provided to Scott Talbott and John Dalton, primarly for business uses. Form 990, Part VI, Section A, line 6 The Roundtable's membership is reserved for for-profit companies delivering integrated financial services within the United States. The Roundtable's Nominating Committee, comprised of representatives of the membership, has the authority to nominate Board members for election. Form 990, Part VI, Section A, line 7a The Roundtable's directors are elected by the membership. Form 990, Part VI, Section A, line 7b Any amendments to the Roundtable's Bylaws are required to be approved by the membership. Form 990, Part VI, Section B, line 11 The 990 is prepared by the Roundtable's outside auditors. It is then reviewed by the CFO, the CEO, and the Audit and Finance Committee. The return will be distributed to the Board of Directors prior to filing. Form 990, Part VI, Section B, line 12c The conflict of interest policy is distributed to directors, officers, executive employees, and key employees for self-disclosure. It must be signed and returned to the organization, where it is kept on file. Individuals are required to report any conflicts to the Board, which will take the appropriate actions. Form 990, Part VI, Section B, line 15 An annual salary survey is prepared by the Roundtable's outside auditors using data gleaned from comparable trade associations. The survey is reviewed by the Chairman and the Compensation Committee who then decide on a compensation amount. The decision is documented and a copy is retained in the personnel file. Form 990, Part VI, Section C, line 19 Only the Organization's financial statements are available to the public. They are included in the annual report and are posted on the organization's website. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized losses on investments: -10,498. Change in benefit plan obligation 1,683,793. Total to Form 990, Part XI, Line 5: 1,673,295. Form 990, Part XII, Line 2c: The Roundtable's Audit Committee assumes responsibility and oversight of the audit.