Civic Intelligence

North American Securities Administrators Association Inc.

990 • Fiscal year 2019 • EIN 47-0730228

Jan 01, 2019 to Dec 31, 2019 • Filed on Oct 22, 2020

Organization ProfileWWW.NASAA.ORG

View Organization Page

750 First St NE No 1140Washington, DC 20002

(202) 737-0900

Siviq Scores

Precomputed percentiles for this filing year versus similar nonprofits in the same peer cohort.

Liabilities / Assets

29th percentile

0.05x

Higher debt load relative to assets than 29% of similar nonprofits.

2019 filings • 501(c)3 • $10M-$25M nonprofits • Source year 2019

Liabilities / Revenue

30th percentile

0.10x

Higher debt load relative to revenue than 30% of similar nonprofits.

2019 filings • 501(c)3 • $10M-$25M nonprofits • Source year 2019

Net Margin

74th percentile

15%

Higher net margin than 74% of similar nonprofits.

2019 filings • 501(c)3 • $10M-$25M nonprofits • Source year 2019

Top Officer Pay

87th percentile

$403,023

Higher top officer pay than 87% of similar nonprofits.

Top officer pay equals 4.7% of source-year revenue.

2019 filings • 501(c)3 • $10M-$25M nonprofits • Source year 2019

Asset Growth

81st percentile

18%

Faster asset growth than 81% of similar nonprofits.

2019 filings • 501(c)3 • $10M-$25M nonprofits • Annualized from 2018 to 2019

Revenue Growth

26th percentile

-5.3%

Faster revenue growth than 26% of similar nonprofits.

2019 filings • 501(c)3 • $10M-$25M nonprofits • Annualized from 2018 to 2019

Balance Sheet
Liabilities / Assets29th percentile

Assets

Up

$16,006,481

Up $2,399,872 (+18%) from 2018

Net Assets

Up

$15,142,484

Up $2,482,791 (+20%) from 2018

Liabilities

Down

$863,997

Down $82,919 (-8.8%) from 2018

Revenue And Expenses
Liabilities / Revenue30th percentileNet Margin74th percentile

Revenue

Down

$8,626,495

Down $478,196 (-5.3%) from 2018

Expenses

Up

$7,365,066

Up $348,679 (+5.0%) from 2018

Net Income

Down

$1,261,429

Down $826,875 (-40%) from 2018

Historical Trend

Balance Sheet Trend

Asset Growth81st percentile

The highlighted filing sits inside the broader history for assets, liabilities, and net assets.

$60M$40M$20M$0Assets 2010: $7,291,006Liabilities 2010: $526,479Net Assets 2010: $6,764,5272010Assets 2011: $6,975,739Liabilities 2011: $481,681Net Assets 2011: $6,494,0582011Assets 2012: $5,858,551Liabilities 2012: $419,989Net Assets 2012: $5,438,5622012Assets 2013: $6,785,898Liabilities 2013: $470,984Net Assets 2013: $6,314,9142013Assets 2014: $7,561,371Liabilities 2014: $428,597Net Assets 2014: $7,132,7742014Assets 2015: $8,813,209Liabilities 2015: $528,391Net Assets 2015: $8,284,8182015Assets 2016: $10,778,095Liabilities 2016: $695,060Net Assets 2016: $10,083,0352016Assets 2017: $11,916,669Liabilities 2017: $695,320Net Assets 2017: $11,221,3492017Assets 2018: $13,606,609Liabilities 2018: $946,916Net Assets 2018: $12,659,6932018Assets 2019: $16,006,481Liabilities 2019: $863,997Net Assets 2019: $15,142,4842019Assets 2020: $19,059,883Liabilities 2020: $791,269Net Assets 2020: $18,268,6142020Assets 2021: $25,487,836Liabilities 2021: $790,274Net Assets 2021: $24,697,5622021Assets 2022: $29,913,852Liabilities 2022: $3,395,643Net Assets 2022: $26,518,2092022Assets 2023: $36,598,745Liabilities 2023: $3,294,884Net Assets 2023: $33,303,8612023Assets 2024: $49,034,976Liabilities 2024: $3,969,436Net Assets 2024: $45,065,5402024

Highlighted filing

2019

Assets$16,006,481
Liabilities$863,997
Net Assets$15,142,484
Open 2019 Filing

Operations Trend

Revenue Growth26th percentile

Revenue, expenses, and net income across loaded years, with this filing highlighted.

$30M$20M$10M$0-$10MRevenue 2010: $4,832,901Expenses 2010: $4,379,984Net Income 2010: $452,9172010Revenue 2011: $4,559,104Expenses 2011: $4,827,055Net Income 2011: -$267,9512011Revenue 2012: $4,275,065Expenses 2012: $5,320,139Net Income 2012: -$1,045,0742012Revenue 2013: $5,797,533Expenses 2013: $4,918,335Net Income 2013: $879,1982013Revenue 2014: $6,112,389Expenses 2014: $5,294,529Net Income 2014: $817,8602014Revenue 2015: $6,821,429Expenses 2015: $5,669,385Net Income 2015: $1,152,0442015Revenue 2016: $7,942,999Expenses 2016: $6,143,820Net Income 2016: $1,799,1792016Revenue 2017: $7,542,461Expenses 2017: $6,413,411Net Income 2017: $1,129,0502017Revenue 2018: $9,104,691Expenses 2018: $7,016,387Net Income 2018: $2,088,3042018Revenue 2019: $8,626,495Expenses 2019: $7,365,066Net Income 2019: $1,261,4292019Revenue 2020: $7,833,508Expenses 2020: $5,639,145Net Income 2020: $2,194,3632020Revenue 2021: $12,337,192Expenses 2021: $6,430,677Net Income 2021: $5,906,5152021Revenue 2022: $14,184,404Expenses 2022: $8,793,531Net Income 2022: $5,390,8732022Revenue 2023: $15,739,705Expenses 2023: $11,298,527Net Income 2023: $4,441,1782023Revenue 2024: $23,115,348Expenses 2024: $13,012,192Net Income 2024: $10,103,1562024

Highlighted filing

2019

Revenue$8,626,495
Expenses$7,365,066
Net Income$1,261,429
Open 2019 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2019 to Dec 31, 2019
Signed
Oct 22, 2020
Return Version
2019v5.1
Gross Receipts
$8,884,562
Mission and Program Overview

Mission

Nasaa represents and serves its members through advocacy, education, subject matter expertise, communication, and coordination.

Nasaa represents and serves its members through advocacy, education, subject matter expertise, (continued): communication, and coordination.

Balance Sheet Detail
LineBeginningEndChange
Assets
Investments in Publicly Traded Securities$11,960,009$14,391,512▲ $2,431,503
Land, Buildings, and Equipment, Net$564,042$687,961▲ $123,919
Accounts Receivable$402,450$383,974▼ $18,476
Prepaid Expenses and Deferred Charges$157,529$355,440▲ $197,911
Savings and Temporary Cash Investments$467,578$149,424▼ $318,154
Total Assets$13,606,609$16,006,481▲ $2,399,872
Other Assets Total$55,001$38,170▼ $16,831
Liabilities
Accounts Payable and Accrued Expenses$594,354$529,326▼ $65,028
Deferred Revenue$352,562$334,671▼ $17,891
Total Liabilities$946,916$863,997▼ $82,919
Net Assets / Fund Balance
Net Assets Without Donor Restrictions$12,659,693$15,142,484▲ $2,482,791
Total Net Assets Fund Balance$12,659,693$15,142,484▲ $2,482,791
Total Liabilities and Net Assets / Fund Balance$13,606,609$16,006,481▲ $2,399,872

Asset Categories

AssetBook ValueDepreciationBasis
Other Land Buildings$352,441$459,705$812,146
Leasehold Improvements$262,259$86,889$349,148
Equipment$73,261$123,565$196,826
Compensation and Service Providers
Top Officer Pay87th percentile

Employees

NameTitleFull / Part TimeBaseOtherTotal
Joseph BradyExecutive DirectorFT$305,051$98,462$403,513
Robert WebsterDirector of CommunicationsFT$173,644$82,578$256,222
Michael CanningDirector of PolicyFT$163,509$46,448$209,957
Marina Alonso-mendozaDirector of Finance & OperationsFT$160,339$39,353$199,692
Zachary KnepperDeputy General CounselFT$169,539$27,105$196,644
Anne Valerie MirkoGeneral CounselFT$155,791$28,922$184,713
James ApistolasDirector of Educational Programs & C-$136,423$40,057$176,480
James ApistolasDirector of Educational Programs & ConferencesFT$138,408$35,868$174,276
Pamela EptingSecretary/senior AdvisorPT$32,900$2,160$35,060

Board Members and Trustees

NameTitle
Christopher GeroldPresident
Michael PieciakPresident
Frank Borger-gilliganDirector
Joseph BorgDirector
Kevin HoytDirector
Lisa HopkinsDirector
Melanie LubinDirector
Tanya SolovDirector
Travis IlesDirector
William BeattyDirector
Claire MchenrySecretary
Andrew HartnettTreasurer
Tom CotterTreasurer

Highest Paid Contractors

ContractorServicesLocationCompensation
Auditboard INCNemo Software Development And Support Se12900 PARK PLAZA DRIVE SUITE 200, Cerritos, CA 90703$360,916
Software Consulting Services LLCEfd Software Development And Support SerPO BOX 321269, Flowood, MS 39232$302,689
Global Meeting Partners INCAudio Visual Services For Meetings420 APPLE STREET, Pottstown, PA 19464$231,812
Thompson-prometricSeries Exam Program AdministrationPO BOX 223608, Pittsburgh, PA 15251$171,005
Revenue and Support

Revenue Composition

Contributions and Grants
$0
Program Service Revenue
$8,180,225
Investment Income
$393,030
Other Revenue
$53,240
Change in Net Assets
$1,261,429

Audited Revenue Reconciliation

Revenue per Audited Statements
$8,588,643
Revenue Not Reported on Financial Statements
$37,852
Revenue Not Reported on Form 990
$1,221,362
Total Revenue per Audited Statements
$9,810,005
Total Revenue per Form 990
$8,626,495
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Other Expenses$4,188,860
Salaries, Compensation, and Employee Benefits$3,176,206
Grants and Similar Amounts Paid$0
Professional Fundraising Fees$0
Total Fundraising Expense$0

Functional Expense Allocation

Line ItemProgramManagementFundraisingTotal
Conferences and Meetings$2,217,592--$2,217,592
Other Salaries and Wages-$1,913,634-$1,913,634
Travel$1,007,507$157,467-$1,164,974
Office Expenses$614,436$288,832-$903,268
Current Officers, Directors, Trustees, and Key Employees-$638,267-$638,267
Occupancy-$421,143-$421,143
Information Technology$215,374$121,760-$337,134
Fees for Services Other$43,122$292,228-$335,350
Other Employee Benefits-$287,247-$287,247
Depreciation Depletion$132,067$110,635-$242,702
Payroll Taxes-$180,862-$180,862
Pension Plan Contributions-$156,196-$156,196
Fees for Services Lobbying-$96,000-$96,000
Fees for Services Legal$67,564$21,330-$88,894
Fees for Services Accounting$43,725$29,895-$73,620
Insurance-$40,231-$40,231
Fees for Service Investment Mgmnt Fees-$37,852-$37,852
Advertising-$8,377-$8,377
Other Expenses$0$-1,929,716-$-1,929,716
Total Functional Expenses$4,447,180$2,917,886$0$7,365,066

Audited Expense Reconciliation

Line ItemAmount
Total Expenses per Form 990$7,365,066
Expenses per Audited Statements$7,327,214
Total Expenses per Audited Statements$7,327,214
Expenses Not Reported on Financial Statements$37,852
Expenses Not Reported on Form 990$0
Fundraising, Events, and Gaming
Fundraising activities
No
Gaming activities
No
Professional fundraiser used
No

Fundraising and Gaming Totals

Line ItemAmount
Professional Fundraising Fees$0
Political and Lobbying Activity
Political campaign activity
No
Lobbying activity
Yes
Subject to proxy tax
No
Governance and Compliance

Governance Checklist

Compiled or reviewed by an accountant
No
Annual disclosure for covered persons
Yes
Audit committee
Yes
Backup withholding compliance
Yes
Business relationship with 35% controlled entity
No
Business relationship with family members
No
Business relationship with organization members
No
Material changes to governing documents
No
Compensation from other sources disclosed
No
CEO compensation reviewed
Yes
Other officer compensation reviewed
No
Conflict-of-interest policy
Yes
Audited financial statements prepared
No
Key decisions subject to board approval
Yes
Management duties delegated
No

Governance Explanations

Form 990, Part VI, Section A, Line 6

“Nasaa is a professional association of securities administrators with 67 members.”

Form 990, Part VI, Section A, Line 7A

“Nasaa's directors are elected by a vote of the full membership.”

Form 990, Part VI, Section A, Line 7B

“Proposed amendments to the organization's by-laws, if initiated by the governing body, require approval by the membership.”

Form 990, Part VI, Section B, Line 11B

“The executive director is provided with a draft of the form 990 prepared by the organization's outside cpa. The executive director, with assistance from the director of finance, reviews the draft and provides feedback to the outside cpa. The final draft of the form 990 is then provided to the board of directors. The return is finalized once all issues raised during the review process have been properly resolved.”

Form 990, Part VI, Section B, Line 12C

“Officers, directors, and employees (collectively, "covered individuals") of nasaa each have an affirmative obligation to act at all times in the best interests of nasaa. Each covered individual shall disclose any and all facts that may be construed as a conflict of interest. Disclosures are made at the time of hire, election or appointment; through an annual disclosure process; and whenever an actual or potential conflict arises. The board of directors or a designated working group of the board will review submitted disclosures, determine whether or not a conflict of interest exists, and determine whether or not such conflict materially and adversely affects nasaa's interests. If the board of directors or the designated working group of the board determines that an actual or potential conflict of interest exists, it shall also determine an appropriate remedy.”

Form 990, Part VI, Section B, Line 15A

“The executive director's salary is determined by the corporate office review committee, comprised of the president, the president-elect, the immediate past president, and the treasurer. See schedule j, part i, line 3 for additional details.”

Form 990, Part VI, Section C, Line 19

“No documents available to the public.”

Filing and Contact Details

Filer

Filer Name
North American Securities
EIN
47-0730228
Address
750 FIRST ST NE NO 1140, WASHINGTON, DC 20002

Signing Officer

Name
Joseph Brady
Title
Executive Director
Signed
2020-10-22
Discuss with paid preparer
Yes

Organization Details

Principal Officer
Christopher Gerold
Formed
1919
Legal Domicile
Dc
Voting Board Members
9
Independent Board Members
9
Employees
24
Volunteers
0

Preparer

Firm
Rsm US Llp
Address
2021 L STREET NW 400, WASHINGTON, DC 20036
Preparer
Mike Sorrells
Phone
2022932200
Supplemental Narrative

Additional Explanations

FORM 990, PART XII, LINE 2C:

“The organization has a committee that assumes responsibility for oversight of the annual financial audit. This has not changed from prior years.”

Raw XML AppendixShowing 400 of 778 raw XML fields

This appendix keeps the raw XML leaves available for debugging and edge-case review. The human report above is the primary experience.

Path#Value
IRS990/AccountantCompileOrReviewInd00
IRS990/AccountsPayableAccrExpnssGrp/BOYAmt0594354
IRS990/AccountsPayableAccrExpnssGrp/EOYAmt0529326
IRS990/AccountsReceivableGrp/BOYAmt0402450
IRS990/AccountsReceivableGrp/EOYAmt0383974
IRS990/ActivitiesConductedPrtshpInd00
IRS990/ActivityOrMissionDesc0NASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, (CONTINUED): COMMUNICATION, AND COORDINATION.
IRS990/AdvertisingGrp/ManagementAndGeneralAmt08377
IRS990/AdvertisingGrp/TotalAmt08377
IRS990/AnnualDisclosureCoveredPrsnInd01
IRS990/AuditCommitteeInd01
IRS990/BackupWthldComplianceInd01
IRS990/BooksInCareOfDetail/BusinessName/BusinessNameLine1Txt0NASAA
IRS990/BooksInCareOfDetail/PhoneNum02027370900
IRS990/BooksInCareOfDetail/USAddress/AddressLine1Txt0750 FIRST ST NE 1140 WASHINGTON DC
IRS990/BooksInCareOfDetail/USAddress/CityNm0WASHINGTON
IRS990/BooksInCareOfDetail/USAddress/StateAbbreviationCd0DC
IRS990/BooksInCareOfDetail/USAddress/ZIPCd020002
IRS990/BusinessRlnWith35CtrlEntInd00
IRS990/BusinessRlnWithFamMemInd00
IRS990/BusinessRlnWithOrgMemInd00
IRS990/ChangeToOrgDocumentsInd00
IRS990/CntrctRcvdGreaterThan100KCnt04
IRS990/CollectionsOfArtInd00
IRS990/CompCurrentOfcrDirectorsGrp/ManagementAndGeneralAmt0638267
IRS990/CompCurrentOfcrDirectorsGrp/TotalAmt0638267
IRS990/CompensationFromOtherSrcsInd00
IRS990/CompensationProcessCEOInd01
IRS990/CompensationProcessOtherInd00
IRS990/ConferencesMeetingsGrp/ProgramServicesAmt02217592
IRS990/ConferencesMeetingsGrp/TotalAmt02217592
IRS990/ConflictOfInterestPolicyInd01
IRS990/ConservationEasementsInd00
IRS990/ConsolidatedAuditFinclStmtInd00
IRS990/ContractorCompensationGrp/CompensationAmt0360916
IRS990/ContractorCompensationGrp/CompensationAmt1302689
IRS990/ContractorCompensationGrp/CompensationAmt2231812
IRS990/ContractorCompensationGrp/CompensationAmt3171005
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/AddressLine1Txt012900 PARK PLAZA DRIVE SUITE 200
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/AddressLine1Txt1PO BOX 321269
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/AddressLine1Txt2420 APPLE STREET
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/AddressLine1Txt3PO BOX 223608
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/CityNm0CERRITOS
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/CityNm1FLOWOOD
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/CityNm2POTTSTOWN
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/CityNm3PITTSBURGH
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/StateAbbreviationCd0CA
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/StateAbbreviationCd1MS
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/StateAbbreviationCd2PA
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/StateAbbreviationCd3PA
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/ZIPCd090703
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/ZIPCd139232
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/ZIPCd219464
IRS990/ContractorCompensationGrp/ContractorAddress/USAddress/ZIPCd315251
IRS990/ContractorCompensationGrp/ContractorName/BusinessName/BusinessNameLine1Txt0AUDITBOARD INC
IRS990/ContractorCompensationGrp/ContractorName/BusinessName/BusinessNameLine1Txt1SOFTWARE CONSULTING SERVICES LLC
IRS990/ContractorCompensationGrp/ContractorName/BusinessName/BusinessNameLine1Txt2GLOBAL MEETING PARTNERS INC
IRS990/ContractorCompensationGrp/ContractorName/BusinessName/BusinessNameLine1Txt3THOMPSON-PROMETRIC
IRS990/ContractorCompensationGrp/ServicesDesc0NEMO SOFTWARE DEVELOPMENT AND SUPPORT SE
IRS990/ContractorCompensationGrp/ServicesDesc1EFD SOFTWARE DEVELOPMENT AND SUPPORT SER
IRS990/ContractorCompensationGrp/ServicesDesc2AUDIO VISUAL SERVICES FOR MEETINGS
IRS990/ContractorCompensationGrp/ServicesDesc3SERIES EXAM PROGRAM ADMINISTRATION
IRS990/CreditCounselingInd00
IRS990/CYBenefitsPaidToMembersAmt00
IRS990/CYContributionsGrantsAmt00
IRS990/CYGrantsAndSimilarPaidAmt00
IRS990/CYInvestmentIncomeAmt0393030
IRS990/CYOtherExpensesAmt04188860
IRS990/CYOtherRevenueAmt053240
IRS990/CYProgramServiceRevenueAmt08180225
IRS990/CYRevenuesLessExpensesAmt01261429
IRS990/CYSalariesCompEmpBnftPaidAmt03176206
IRS990/CYTotalExpensesAmt07365066
IRS990/CYTotalFundraisingExpenseAmt00
IRS990/CYTotalProfFndrsngExpnsAmt00
IRS990/CYTotalRevenueAmt08626495
IRS990/DecisionsSubjectToApprovaInd01
IRS990/DeductibleArtContributionInd00
IRS990/DeductibleNonCashContriInd00
IRS990/DeferredRevenueGrp/BOYAmt0352562
IRS990/DeferredRevenueGrp/EOYAmt0334671
IRS990/DelegationOfMgmtDutiesInd00
IRS990/DepreciationDepletionGrp/ManagementAndGeneralAmt0110635
IRS990/DepreciationDepletionGrp/ProgramServicesAmt0132067
IRS990/DepreciationDepletionGrp/TotalAmt0242702
IRS990/Desc0NASAA'S MULTI-PRONGED MISSION INCLUDES SERVING MEMBERS THROUGH EDUCATION. IN FULFILLING THIS ASPECT OF THE ORGANIZATION'S MISSION, NASAA MAINTAINS A TRAINING AND EDUCATION PROGRAM COMPRISED OF A SERIES OF IN-PERSON TRAINING EVENTS AND WEBINARS THAT TAKE PLACE THROUGHOUT THE YEAR. THE EVENTS ARE LARGELY FUNDED BY THE ORGANIZATION AND AVAILABLE PRIMARILY TO NASAA MEMBERS AND THEIR STAFF. TRAINING EVENTS FOCUSED ON THE FOLLOWING AREAS ARE HELD ANNUALLY: ENFORCEMENT, INVESTMENT ADVISER REGULATION, INVESTOR EDUCATION, BROKER-DEALER REGULATION, CORPORATION FINANCE AND FRANCHISE REGULATION. LITIGATION AND DEPOSITION SKILLS TRAINING SEMINARS ARE HELD IN ALTERNATING YEARS. NASAA RECORDS THESE TRAINING EVENTS AND MAKES THEM AVAILABLE TO MEMBERS ON THE DISTANCE LEARNING SECTION OF THE NASAA WEBSITE.
IRS990/DescribedInSection501c3Ind01
IRS990/DisregardedEntityInd00
IRS990/DocumentRetentionPolicyInd01
IRS990/DonorAdvisedFundInd00
IRS990/DonorRstrOrQuasiEndowmentsInd00
IRS990/ElectionOfBoardMembersInd01
IRS990/EmployeeCnt024
IRS990/EmploymentTaxReturnsFiledInd01
IRS990/EngagedInExcessBenefitTransInd00
IRS990/ExpenseAmt01007136
IRS990/FamilyOrBusinessRlnInd00
IRS990/FederalGrantAuditRequiredInd00
IRS990/FeesForServicesAccountingGrp/ManagementAndGeneralAmt029895
IRS990/FeesForServicesAccountingGrp/ProgramServicesAmt043725
IRS990/FeesForServicesAccountingGrp/TotalAmt073620
IRS990/FeesForServicesLegalGrp/ManagementAndGeneralAmt021330
IRS990/FeesForServicesLegalGrp/ProgramServicesAmt067564
IRS990/FeesForServicesLegalGrp/TotalAmt088894
IRS990/FeesForServicesLobbyingGrp/ManagementAndGeneralAmt096000
IRS990/FeesForServicesLobbyingGrp/TotalAmt096000
IRS990/FeesForServicesOtherGrp/ManagementAndGeneralAmt0292228
IRS990/FeesForServicesOtherGrp/ProgramServicesAmt043122
IRS990/FeesForServicesOtherGrp/TotalAmt0335350
IRS990/FeesForSrvcInvstMgmntFeesGrp/ManagementAndGeneralAmt037852
IRS990/FeesForSrvcInvstMgmntFeesGrp/TotalAmt037852
IRS990/ForeignActivitiesInd00
IRS990/ForeignFinancialAccountInd00
IRS990/ForeignOfficeInd00
IRS990/Form8282PropertyDisposedOfInd00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt08.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt18.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt28.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt325.40
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt48.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt58.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt68.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt78.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt88.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt98.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt108.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt118.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt128.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt138.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt1440.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt1540.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt1640.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt1740.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt1840.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt1940.00
IRS990/Form990PartVIISectionAGrp/AverageHoursPerWeekRt2040.00
IRS990/Form990PartVIISectionAGrp/HighestCompensatedEmployeeInd0X
IRS990/Form990PartVIISectionAGrp/HighestCompensatedEmployeeInd1X
IRS990/Form990PartVIISectionAGrp/HighestCompensatedEmployeeInd2X
IRS990/Form990PartVIISectionAGrp/HighestCompensatedEmployeeInd3X
IRS990/Form990PartVIISectionAGrp/HighestCompensatedEmployeeInd4X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd0X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd1X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd2X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd3X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd4X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd5X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd6X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd7X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd8X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd9X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd10X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd11X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd12X
IRS990/Form990PartVIISectionAGrp/IndividualTrusteeOrDirectorInd13X
IRS990/Form990PartVIISectionAGrp/OfficerInd0X
IRS990/Form990PartVIISectionAGrp/OfficerInd1X
IRS990/Form990PartVIISectionAGrp/OfficerInd2X
IRS990/Form990PartVIISectionAGrp/OfficerInd3X
IRS990/Form990PartVIISectionAGrp/OfficerInd4X
IRS990/Form990PartVIISectionAGrp/OfficerInd5X
IRS990/Form990PartVIISectionAGrp/OfficerInd6X
IRS990/Form990PartVIISectionAGrp/OfficerInd7X
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt00
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt10
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt20
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt32160
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt40
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt50
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt60
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt70
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt80
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt90
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt100
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt110
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt120
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt130
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt1455532
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt1534960
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt1664870
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt177055
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt1821157
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt1941916
IRS990/Form990PartVIISectionAGrp/OtherCompensationAmt2035868
IRS990/Form990PartVIISectionAGrp/PersonNm0CHRISTOPHER GEROLD
IRS990/Form990PartVIISectionAGrp/PersonNm1MICHAEL PIECIAK
IRS990/Form990PartVIISectionAGrp/PersonNm2CLAIRE MCHENRY
IRS990/Form990PartVIISectionAGrp/PersonNm3PAMELA EPTING
IRS990/Form990PartVIISectionAGrp/PersonNm4ANDREW HARTNETT
IRS990/Form990PartVIISectionAGrp/PersonNm5TOM COTTER
IRS990/Form990PartVIISectionAGrp/PersonNm6FRANK BORGER-GILLIGAN
IRS990/Form990PartVIISectionAGrp/PersonNm7JOSEPH BORG
IRS990/Form990PartVIISectionAGrp/PersonNm8KEVIN HOYT
IRS990/Form990PartVIISectionAGrp/PersonNm9LISA HOPKINS
IRS990/Form990PartVIISectionAGrp/PersonNm10MELANIE LUBIN
IRS990/Form990PartVIISectionAGrp/PersonNm11TANYA SOLOV
IRS990/Form990PartVIISectionAGrp/PersonNm12TRAVIS ILES
IRS990/Form990PartVIISectionAGrp/PersonNm13WILLIAM BEATTY
IRS990/Form990PartVIISectionAGrp/PersonNm14JOSEPH BRADY
IRS990/Form990PartVIISectionAGrp/PersonNm15MARINA ALONSO-MENDOZA
IRS990/Form990PartVIISectionAGrp/PersonNm16ROBERT WEBSTER
IRS990/Form990PartVIISectionAGrp/PersonNm17ANNE VALERIE MIRKO
IRS990/Form990PartVIISectionAGrp/PersonNm18ZACHARY KNEPPER
IRS990/Form990PartVIISectionAGrp/PersonNm19MICHAEL CANNING
IRS990/Form990PartVIISectionAGrp/PersonNm20JAMES APISTOLAS
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt00
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt10
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt20
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt332900
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt40
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt50
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt60
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt70
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt80
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt90
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt100
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt110
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt120
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt130
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt14347491
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt15166812
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt16190459
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt17176109
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt18171454
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt19164650
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt20138408
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt00
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt10
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt20
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt30
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt40
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt50
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt60
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt70
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt80
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt90
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt100
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt110
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt120
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt130
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt140
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt150
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt160
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt170
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt180
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt190
IRS990/Form990PartVIISectionAGrp/ReportableCompFromRltdOrgAmt200
IRS990/Form990PartVIISectionAGrp/TitleTxt0PRESIDENT
IRS990/Form990PartVIISectionAGrp/TitleTxt1PRESIDENT
IRS990/Form990PartVIISectionAGrp/TitleTxt2SECRETARY
IRS990/Form990PartVIISectionAGrp/TitleTxt3SECRETARY/SENIOR ADVISOR
IRS990/Form990PartVIISectionAGrp/TitleTxt4TREASURER
IRS990/Form990PartVIISectionAGrp/TitleTxt5TREASURER
IRS990/Form990PartVIISectionAGrp/TitleTxt6DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt7DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt8DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt9DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt10DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt11DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt12DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt13DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt14EXECUTIVE DIRECTOR
IRS990/Form990PartVIISectionAGrp/TitleTxt15DIRECTOR OF FINANCE & OPERATIONS
IRS990/Form990PartVIISectionAGrp/TitleTxt16DIRECTOR OF COMMUNICATIONS
IRS990/Form990PartVIISectionAGrp/TitleTxt17GENERAL COUNSEL
IRS990/Form990PartVIISectionAGrp/TitleTxt18DEPUTY GENERAL COUNSEL
IRS990/Form990PartVIISectionAGrp/TitleTxt19DIRECTOR OF POLICY
IRS990/Form990PartVIISectionAGrp/TitleTxt20DIRECTOR OF EDUCATIONAL PROGRAMS & CONFERENCES
IRS990/Form990ProvidedToGvrnBodyInd01
IRS990/FormationYr01919
IRS990/FormerOfcrEmployeesListedInd00
IRS990/FSAuditedBasisGrp/SeparateBasisFinclStmtInd0X
IRS990/FSAuditedInd01
IRS990/FundraisingActivitiesInd00
IRS990/GainOrLossGrp/SecuritiesAmt0286
IRS990/GamingActivitiesInd00
IRS990/GoverningBodyVotingMembersCnt09
IRS990/GrantsToIndividualsInd00
IRS990/GrantsToOrganizationsInd00
IRS990/GrantToRelatedPersonInd00
IRS990/GrossAmountSalesAssetsGrp/SecuritiesAmt0258353
IRS990/GrossReceiptsAmt08884562
IRS990/GroupReturnForAffiliatesInd00
IRS990/IncludeFIN48FootnoteInd00
IRS990/IndependentAuditFinclStmtInd01
IRS990/IndependentVotingMemberCnt09
IRS990/IndivRcvdGreaterThan100KCnt011
IRS990/IndoorTanningServicesInd00
IRS990/InfoInScheduleOPartIIIInd0X
IRS990/InfoInScheduleOPartVIInd0X
IRS990/InfoInScheduleOPartXIIInd0X
IRS990/InformationTechnologyGrp/ManagementAndGeneralAmt0121760
IRS990/InformationTechnologyGrp/ProgramServicesAmt0215374
IRS990/InformationTechnologyGrp/TotalAmt0337134
IRS990/InsuranceGrp/ManagementAndGeneralAmt040231
IRS990/InsuranceGrp/TotalAmt040231
IRS990/InvestmentIncomeGrp/ExclusionAmt0392744
IRS990/InvestmentIncomeGrp/TotalRevenueColumnAmt0392744
IRS990/InvestmentInJointVentureInd00
IRS990/InvestmentsPubTradedSecGrp/BOYAmt011960009
IRS990/InvestmentsPubTradedSecGrp/EOYAmt014391512
IRS990/IRPDocumentCnt015
IRS990/IRPDocumentW2GCnt00
IRS990/LandBldgEquipAccumDeprecAmt0670159
IRS990/LandBldgEquipBasisNetGrp/BOYAmt0564042
IRS990/LandBldgEquipBasisNetGrp/EOYAmt0687961
IRS990/LandBldgEquipCostOrOtherBssAmt01358120
IRS990/LegalDomicileStateCd0DC
IRS990/LessCostOthBasisSalesExpnssGrp/SecuritiesAmt0258067
IRS990/LoanOutstandingInd00
IRS990/LobbyingActivitiesInd01
IRS990/LocalChaptersInd00
IRS990/MaterialDiversionOrMisuseInd00
IRS990/MembersOrStockholdersInd01
IRS990/MethodOfAccountingAccrualInd0X
IRS990/MinutesOfCommitteesInd01
IRS990/MinutesOfGoverningBodyInd01
IRS990/MissionDesc0NASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, COMMUNICATION, AND COORDINATION.
IRS990/MoreThan5000KToIndividualsInd00
IRS990/MoreThan5000KToOrgInd00
IRS990/NetAssetsOrFundBalancesBOYAmt012659693
IRS990/NetAssetsOrFundBalancesEOYAmt015142484
IRS990/NetGainOrLossInvestmentsGrp/ExclusionAmt0286
IRS990/NetGainOrLossInvestmentsGrp/TotalRevenueColumnAmt0286
IRS990/NetUnrelatedBusTxblIncmAmt00
IRS990/NetUnrlzdGainsLossesInvstAmt01221362
IRS990/NoDonorRestrictionNetAssetsGrp/BOYAmt012659693
IRS990/NoDonorRestrictionNetAssetsGrp/EOYAmt015142484
IRS990/NondeductibleContributionsInd00
IRS990/OccupancyGrp/ManagementAndGeneralAmt0421143
IRS990/OccupancyGrp/TotalAmt0421143
IRS990/OfficeExpensesGrp/ManagementAndGeneralAmt0288832
IRS990/OfficeExpensesGrp/ProgramServicesAmt0614436
IRS990/OfficeExpensesGrp/TotalAmt0903268
IRS990/OfficerMailingAddressInd00
IRS990/OperateHospitalInd00
IRS990/Organization501c3Ind0X
IRS990/OrganizationFollowsFASB117Ind0X
IRS990/OtherAssetsTotalGrp/BOYAmt055001
IRS990/OtherAssetsTotalGrp/EOYAmt038170
IRS990/OtherChangesInNetAssetsAmt00
IRS990/OtherEmployeeBenefitsGrp/ManagementAndGeneralAmt0287247
IRS990/OtherEmployeeBenefitsGrp/TotalAmt0287247
IRS990/OtherExpensesGrp/Desc0BANK AND PROCESSING FEE
IRS990/OtherExpensesGrp/Desc1PRINTING AND PUBLICATIO
IRS990/OtherExpensesGrp/Desc2MISCELLANEOUS
IRS990/OtherExpensesGrp/Desc3ALLOCATED EXPENSES
IRS990/OtherExpensesGrp/ManagementAndGeneralAmt022241
IRS990/OtherExpensesGrp/ManagementAndGeneralAmt14005
IRS990/OtherExpensesGrp/ManagementAndGeneralAmt219400
IRS990/OtherExpensesGrp/ManagementAndGeneralAmt3-1929716
IRS990/OtherExpensesGrp/ProgramServicesAmt087541
IRS990/OtherExpensesGrp/ProgramServicesAmt118252
IRS990/OtherExpensesGrp/ProgramServicesAmt20
IRS990/OtherExpensesGrp/TotalAmt0109782
IRS990/OtherExpensesGrp/TotalAmt122257
IRS990/OtherExpensesGrp/TotalAmt219400
IRS990/OtherExpensesGrp/TotalAmt3-1929716
IRS990/OtherRevenueMiscGrp/BusinessCd0900099
IRS990/OtherRevenueMiscGrp/Desc0OTHER INCOME
IRS990/OtherRevenueMiscGrp/ExclusionAmt07949
IRS990/OtherRevenueMiscGrp/TotalRevenueColumnAmt07949
IRS990/OtherRevenueTotalAmt07949
IRS990/OtherSalariesAndWagesGrp/ManagementAndGeneralAmt01913634
IRS990/OtherSalariesAndWagesGrp/TotalAmt01913634
IRS990/PartialLiquidationInd00
IRS990/PayPremiumsPrsnlBnftCntrctInd00
IRS990/PayrollTaxesGrp/ManagementAndGeneralAmt0180862
IRS990/PayrollTaxesGrp/TotalAmt0180862
IRS990/PensionPlanContributionsGrp/ManagementAndGeneralAmt0156196
IRS990/PensionPlanContributionsGrp/TotalAmt0156196
IRS990/PoliticalCampaignActyInd00
IRS990/PrepaidExpensesDefrdChargesGrp/BOYAmt0157529
IRS990/PrepaidExpensesDefrdChargesGrp/EOYAmt0355440
IRS990/PrincipalOfficerNm0CHRISTOPHER GEROLD
IRS990/ProfessionalFundraisingInd00
IRS990/ProgramServiceRevenueGrp/BusinessCd0900099
IRS990/ProgramServiceRevenueGrp/BusinessCd1900099
IRS990/ProgramServiceRevenueGrp/BusinessCd2900099
IRS990/ProgramServiceRevenueGrp/BusinessCd3900099
IRS990/ProgramServiceRevenueGrp/BusinessCd4900099
IRS990/ProgramServiceRevenueGrp/Desc0EXAM FEES & GUIDES
IRS990/ProgramServiceRevenueGrp/Desc1E- FORM DEPOSITORY
IRS990/ProgramServiceRevenueGrp/Desc2CONFERENCES
IRS990/ProgramServiceRevenueGrp/Desc3MEMBERSHIP FEES
IRS990/ProgramServiceRevenueGrp/Desc4TRAINING EVENTS
IRS990/ProgramServiceRevenueGrp/RelatedOrExemptFuncIncomeAmt06180411
IRS990/ProgramServiceRevenueGrp/RelatedOrExemptFuncIncomeAmt11570498
IRS990/ProgramServiceRevenueGrp/RelatedOrExemptFuncIncomeAmt2213617
IRS990/ProgramServiceRevenueGrp/RelatedOrExemptFuncIncomeAmt3167500
IRS990/ProgramServiceRevenueGrp/RelatedOrExemptFuncIncomeAmt445450
IRS990/ProgramServiceRevenueGrp/TotalRevenueColumnAmt06180411
IRS990/ProgramServiceRevenueGrp/TotalRevenueColumnAmt11570498
IRS990/ProgramServiceRevenueGrp/TotalRevenueColumnAmt2213617
IRS990/ProgramServiceRevenueGrp/TotalRevenueColumnAmt3167500
IRS990/ProgramServiceRevenueGrp/TotalRevenueColumnAmt445450
IRS990/ProgSrvcAccomActy2Grp/Desc0AN ANNUAL FALL CONFERENCE IS HELD EACH YEAR IN A DIFFERENT CITY IN CONJUNCTION WITH A FULL MEMBERSHIP MEETING. BOTH SERVE TO UPDATE PARTICIPANTS AND MEMBERS ON CURRENT EVENTS PERTAINING TO SECURITIES ADMINISTRATION.
IRS990/ProgSrvcAccomActy2Grp/ExpenseAmt0629347
IRS990/ProgSrvcAccomActy2Grp/RevenueAmt0178525
IRS990/ProgSrvcAccomActy3Grp/Desc0NASAA, UNDER THE LEADERSHIP AND SUPERVISION OF ITS STATE SECURITIES REGULATOR MEMBERS, OPERATES THE ELECTRONIC FILING DEPOSITORY ("EFD"). THE EFD SYSTEM BENEFITS FROM THE OVERSIGHT OF THE NASAA BOARD OF DIRECTORS AND SUBJECT MATTER EXPERTISE FROM THE EFD STEERING COMMITTEE. EFD IS AN INTERNETACCESSIBLE DATABASE SYSTEM THAT ALLOWS ISSUERS TO SUBMIT REGULATORY FILINGS, CURRENTLY FORM D FOR REGULATION D, RULE 506 OFFERINGS AND PAY RELATED FEES TO STATE SECURITIES REGULATORS. DURING 2019, NASAA EXPANDED EFD TO INCLUDE FORM NF-UIT FILINGS; THE FIRST OF THESE FILINGS WERE MADE THROUGH THE SYSTEM IN MAY 2019. EFD ALSO PROVIDES A PUBLIC FACING WEBSITE TO SEARCH AND VIEW, FREE OF CHARGE, FILINGS MADE THROUGH THE SYSTEM TO STATE SECURITIES REGULATORS. THE EFD SYSTEM ALLOWS FILERS AND STATE REGULATORY AGENCIES TO TRANSITION FROM A PAPER-BASED FILING SYSTEM TO AN ELECTRONIC SYSTEM. BY FOSTERING UNIFORMITY IN STATE REGULATORY FILINGS, AND SIMPLIFYING COMMUNICATIONS BETWEEN FILER AND REGULATOR, EFD HELPS PROVIDE REGULATORS WITH A MORE EFFICIENT AND EFFECTIVE MEANS OF RECEIVING AND MONITORING SECURITIES FILINGS, AS WELL AS BETTER ALIGNING THE STATE FILING PROCESS WITH THE FEDERAL FILING PROCESS.

Document Assets

No mirrored PDF or thumbnail assets are attached yet.

Filings

Displayed year

2019 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$16,006,481
Liabilities
$863,997
Net assets
$15,142,484
Revenue
$8,626,495
Expenses
$7,365,066
Net income
$1,261,429
Balance SheetOperations
YearAssetsLiabilitiesNet AssetsRevenueExpensesNet Income
2024Facts available. Structured filing facts are available, but richer extracted sections are limited.$49.0$3.97$45.1$23.1$13.0$10.1
2023Detailed filing. Detailed filing data is available for this year.$36.6$3.29$33.3$15.7$11.3$4.44
2022Detailed filing. Detailed filing data is available for this year.$29.9$3.40$26.5$14.2$8.79$5.39
2021Detailed filing. Detailed filing data is available for this year.$25.5$0.79$24.7$12.3$6.43$5.91
2020Detailed filing. Detailed filing data is available for this year.$19.1$0.79$18.3$7.83$5.64$2.19
2019Detailed filing. Detailed filing data is available for this year.$16.0$0.86$15.1$8.63$7.37$1.26
2018Detailed filing. Detailed filing data is available for this year.$13.6$0.95$12.7$9.10$7.02$2.09
2017Detailed filing. Detailed filing data is available for this year.$11.9$0.70$11.2$7.54$6.41$1.13
2016Detailed filing. Detailed filing data is available for this year.$10.8$0.70$10.1$7.94$6.14$1.80
2015Detailed filing. Detailed filing data is available for this year.$8.81$0.53$8.28$6.82$5.67$1.15
2014Detailed filing. Detailed filing data is available for this year.$7.56$0.43$7.13$6.11$5.29$0.82
2013Summary only. Only limited summary data is available for this year.$6.79$0.47$6.31$5.80$4.92$0.88
2012Summary only. Only limited summary data is available for this year.$5.86$0.42$5.44$4.28$5.32$1.05
2011Summary only. Only limited summary data is available for this year.$6.98$0.48$6.49$4.56$4.83$0.27
2010Summary only. Only limited summary data is available for this year.$7.29$0.53$6.76$4.83$4.38$0.45