EIN 47-0730228

North American Securities Administrators Association

IRS 501(c) type
501(c)(3)
Num. employees
27
Year formed
1919
Most recent tax filings
2022-12-01
NTEE code, primary
Description
Nasaa advocates for its members and operates an electronic filing depository. It also offers education programs and is based in Washington DC.
Total revenues
$14,184,404
2022
Total expenses
$8,793,531
2022
Total assets
$29,913,852
2022
Num. employees
27
2022

Program areas at North American Securities Administrators Association

Other activities are organized throughout the year to provide education and collaborative opportunities to members who deal with Securities regulation and enforcement matters. Among these activities, nasaa routinely provides new content for series 63, series 65 and series 66 examinations, which are owned by nasaa and are utilized in the financial services industry.
Nasaa, under the leadership 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 internet accessible database system that allows issuers to submit regulatory filings and pay related fees to state Securities regulators. Prior to 2021, the filings that could be submitted through the efd managed functionality included form d for regulation d, rule 506 filings, form nf-uit filings, and various other corporate finance filings. Nasaa expanded the managed functionality to include franchise registration filings in may 2021. 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 paper-based filing systems to an electronic system. By fostering uniformity in state regulatory filings, and simplifying communications between filer and regulator, efd serves its member regulators with a more efficient and effective means to receive and monitor Securities filings.
Nasaa'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.
An 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.
Spring conference in Washington dc
Nasaa exams module (nemo) system
Iar ce

Personnel at North American Securities Administrators Association

NameTitleCompensation
Joseph BradyExecutive Director$443,800
Marina Alonso-MendozaDirector of Finance and Operations$208,408
Kristen HutchensDirector of Policy and Government Affairs$167,603
Vincente MartinezGeneral Counsel$243,330
James ApistolasDirector of Eem / Director , Education Programs and Conf. / Director of Education , Conf and Membership / Director of Educational Programs and Conferences$171,628
...and 15 more key personnel

Financials for North American Securities Administrators Association

RevenuesFYE 12/2022
Total grants, contributions, etc.$0
Program services$13,726,590
Investment income and dividends$548,063
Tax-exempt bond proceeds$0
Royalty revenue$41,245
Net rental income$2,022
Net gain from sale of non-inventory assets$-140,404
Net income from fundraising events$0
Net income from gaming activities$0
Net income from sales of inventory$0
Miscellaneous revenues$6,888
Total revenues$14,184,404

Form 990s for North American Securities Administrators Association

Fiscal year endingDate received by IRSFormPDF link
2022-122023-10-30990View PDF
2021-122022-10-28990View PDF
2020-122021-11-02990View PDF
2019-122021-02-19990View PDF
2018-122019-11-29990View PDF
...and 10 more Form 990s
Data update history
January 21, 2024
Posted financials
Added Form 990 for fiscal year 2022
January 21, 2024
Updated personnel
Identified 3 new personnel
December 31, 2023
Used new vendors
Identified 1 new vendor, including
November 25, 2023
Posted financials
Added Form 990 for fiscal year 2021
July 6, 2023
Updated personnel
Identified 1 new personnel
Nonprofit Types
Professional associationsBusiness and community development organizationsCharities
Issues
Science and technologyEducationBusiness and industry
Characteristics
MembershipsPolitical advocacyLobbyingState / local levelTax deductible donationsAccepts online donations
General information
Address
750 First St NW 990
Washington, DC 20002
Metro area
Washington-Arlington-Alexandria, DC-VA-MD-WV
County
District of Columbia, DC
Website URL
nasaa.org/ 
Phone
(202) 737-0900
Facebook page
nasaa 
Twitter profile
@nasaa_news 
IRS details
EIN
47-0730228
Fiscal year end
December
Taxreturn type
Form 990
Year formed
1919
Eligible to receive tax-deductible contributions (Pub 78)
Yes
Categorization
NTEE code, primary
S41: Promotion of Business
NAICS code, primary
813920: Professional Associations
Parent/child status
Independent
Free account sign-up

Want updates when North American Securities Administrators Association has new information, or want to find more organizations like North American Securities Administrators Association?

Create free Cause IQ account