Organizations Filed Purposes:
NASAA REPRESENTS AND SERVES ITS MEMBERS THROUGH ADVOCACY, EDUCATION, SUBJECT MATTER EXPERTISE, (CONTINUED): COMMUNICATION, AND COORDINATION.
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.
NASAA, 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.
Executives Listed on Filing
Total Salary includes financial earnings, benefits, and all related organization earnings listed on tax filing
| Name | Title | Hours Per Week | Total Salary |
|---|
| Joseph Brady | EXECUTIVE DIRECTOR | 40 | $347,491 |
| Robert Webster | DIRECTOR OF COMMUNICATIONS | 40 | $190,459 |
| Anne Valerie Mirko | GENERAL COUNSEL | 40 | $176,109 |
| Zachary Knepper | DEPUTY GENERAL COUNSEL | 40 | $171,454 |
| Marina Alonso-Mendoza | DIRECTOR OF FINANCE & OPERATIONS | 40 | $166,812 |
| Michael Canning | DIRECTOR OF POLICY | 40 | $164,650 |
| James Apistolas | DIRECTOR OF EDUCATIONAL PROGRAMS & CONFERENCES | 40 | $138,408 |
| Pamela Epting | SECRETARY/SENIOR ADVISOR | 25.4 | $32,900 |
| William Beatty | DIRECTOR | 8 | $0 |
| Travis Iles | DIRECTOR | 8 | $0 |
| Tanya Solov | DIRECTOR | 8 | $0 |
| Melanie Lubin | DIRECTOR | 8 | $0 |
| Lisa Hopkins | DIRECTOR | 8 | $0 |
| Kevin Hoyt | DIRECTOR | 8 | $0 |
| Joseph Borg | DIRECTOR | 8 | $0 |
| Frank Borger-Gilligan | DIRECTOR | 8 | $0 |
| Tom Cotter | TREASURER | 8 | $0 |
| Andrew Hartnett | TREASURER | 8 | $0 |
| Claire Mchenry | SECRETARY | 8 | $0 |
| Michael Pieciak | PRESIDENT | 8 | $0 |
| Christopher Gerold | PRESIDENT | 8 | $0 |
Data for this page was sourced from XML published by IRS (
public 990 form dataset) from:
https://s3.amazonaws.com/irs-form-990/202002969349300305_public.xml