PUBLIC DISCLOSURE COPY 

Return of Organization Exempt From lnco me Tax
Under section 501(c). 527. or 4947(a)( 1) of the Internal Revenue Code (except private foundations)

OMB No. 1545-004?

Form 

 

Wm?. on.? Treasury Do not enter social security numbers on this form as it may be made public. to 
Swiss Go to for instructions and the latest information. [Timon

 

 

 

 

 

 

 

 

 

 

 

 

A For the 2017 calendar year. or tax year beginning and ending
$133; i; la: Name of organization Employer identi?cation number
Financial Services Roundtable
matron Doing business 313:: Number and street (or P.0. box if mail is not delivered to street address) Floomisuite Telephone number
600 13th Street. NW 400 (202) 289?4322
1mm' City or town. state or province, country. and ZIP or foreign postal code Gross receipts [3mm Washington DC 2 0 0 0 5 H(a) is this a group return
[3333?? Name and address of principal officer:T1m0thY PaW1entY for subordinates? [:iYes No
"mm" same as above H(b) all subordinates included?  _?_lYes No
I Tax-exempt status: 501(c)(3) LXJ 501(c)( 6 )4 (insert no.) I_l 4947(a)(1) or l_l 527 If attach a list. (see instructions)
Website: - bpi . com H(c) Group exemption number 

 

Ll Trust LXJ Association Other! I t. Year 01 formation: 1 9 94) State of legal domicile:DC

Form of organization: i_l Corporation
I Part II Summary

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

u, 1 Briefly describe the organization?s mission or most signi?cant activities: Promot es the busines of banking
and financial services and encourages the development of sound
2 Check this box I Li if the organization discontinued its operations or disposed of more than 25% of its net assets
3 3 Number of voting members of the governing body (Part VI. line 1a) 3 2 5
4 Number of independent voting members of the governing body (Part VI. line 1b) 4 2 5
5 Total number of individuals employed in calendar year 2017 (Part V. line 23) 5 3 5
6 Total number of volunteers (estimate if necessary) 6 0
7 a Total unrelated business revenue from Part column (C). line Net unrelated business taxable income from Form 990T. line Prior Year Current Year
3 8 Contributions and grants (Part line inProgram servicerevenuelPartvm. Iine2s) .. 21:079r349- 21:903r14T
10 investment income (Part column (A), lines Other revenue (Part column (A). lines 5, 6d. so, so, 10c. and 11eTotal revenue add lines 8 through 11 (must equal Part column (A), line 12Grants and similar amounts paid (Part IX. column (A). lines 13Bene?ts paid to or for members (Part IX. column (A). line 4) 0 - 0 -
15 Salaries. other compensation. employee benefits (Part IX. column (A). lines 5-1016a Professional fundraising fees (Part ix. column (A), line11e) 0 - 0 -
a Total fundraising expenses (Part ix. column (D). line 25) 0 -
l? 17 Other expenses (Part ix. column (A). lines 11a-11d. 11f-24eTotal expenses. Add lines 13-17 (must equal Part ix, column (A). line 25Revenue less expenses. Subtract line 18 from line Beginning at Current Year End of Year
20 TotalassetslPartX. ine16) .. 19:443r510- 15:773r117-
21 Total liabilities (Partx. Iine26l .. 9:751:705- 5:540:04?-
?5 22 from line20 .. 9 r691 r905 - 11:133 r069-

 

 

 

I Eart II Signature Block
Under penalties of perjury, I declare that I have examined this return. including accompanying schedules and statements. and to the best of my knowledge and belief, it is
true. correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Sign Signature of of?cer Date
Here George Forsberg Chief Financial Officer

Type or print name and title

preparer's name Pr rsr's sign Date CUM l_l 
Paid Nicole M. Prince, CPA 11/07/18 grandam P01315245
Preparer Firm's name Rogers 8: Company PLLC Firmuse enly Firm's address 8 3 0 0 Boone Boul evard Sui ta 6 0 0

Vienna. VA 22182 Phoneno.(703) 393?0300

May the IRS discuss this return with the preparer shown above? (see instructions732001 11-28-17 LHA For Paperwork Reduction Act Notice. see the asparate instructions. Fon'? 990 (2017)

See Schedule 0 for Organization Mission Statement Continuation

Immnmoemn Financial Services Roundtable 36?0753125 pwez
Statement of Program Service Accomplishments
Check if Schedule 0 contains a response or note to any line In this Part ..  . . .. . ..  

1 Brie?y describe the organization?s mission: .
Promotes the bus1ness of banking_and finanCial serVices and encourages

the development of sound banking_and financial policies and practices.

 

 

2 Did the organization undertake any signi?cant program services during the year which were not listed on the

prior Form 990 or sec?E2? .. Chas DU No
If 'Yes." describe these new services on Schedule 0
3 Did the organization cease conducting. or make Signi?cant changes in how rt conducts. any program services? Yes No

If 'Yes.? describe these changes on Schedule 0.
4 Describe the organization?s program service accomplishments for each of its three largest program services. as measured by expenses.

Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others. the total expenses. and
revenue. if any. for each program service reported.
43 (Code: (Expenses 8 including gents of (Revenue 5 

Identifies impacts of pending legislation and regulation affecting the
financial services industry and develops and advocates solutions to

major policy concerns.

 

 

 

 

 

 

 

 

 

 

(Code: (Expenses I including gents of (Revenue 5 
The Housing Policy Council Fund was established for the purpose to

etermine an in uence most critica pu ic po icy issues at
d?ape a vibrant competitive mortgage and housing marketplace.

 

 

 

 

 

 

 

 

 

40 (Code: (Expenses 5 Including gents at (Revenue 5 
BITS addresses issues at the intersection of financial servicesicy. are in ustry cooperation serves 
public good. such as critical infrastructure protection. fraud
prevention, and the safety of financial services.

 

 

 

 

 

 

 

 

4d Other program services (Describe in Schedule 0.)
(Expenses 3 including gents of (Revenue 5 

49 Total program service expenses 
Form 990 (2017)

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Form 990 2017) Financial Services Roundtable 36?0753125 Pagea
I Earl IV Checklist of Required Schedules
Yes No
1 Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)?
ll 'Yes.'comelele ScheduleA .. 1 
2 Is the organization required to complete Schedule 6, Schedule of Contributor? 
3 Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for
public office? ll Yes. complete Schedule C. Perl . .. . . .. . .. ..  a 
4 Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect
during the tax year? lf 'Yes, complete Schedule C, Part ll . 4
5 Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues assessments, or
similar amounts as de?ned in Revenue Procedure 98-19? ll 'Yes, complete Schedule C, Part 5 
6 Did the organization maintain any donor advised funds or any Similar funds or accounts for which donors have the right to
provide advice on the distribution or investment of amounts in such funds or accounts? ll 'Yes, complete Schedule D, Part 6 
7 Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment. historic land areas, or historic structures? ll Yes, complete Schedule D, Part ll 7 
8 Did the organization maintain collections of works of art, histoncal treasures, or other similar assets? ll "Yes, complete
.. .   . a 
9 Did the organization report an amount in Part X, line 21, for escrow or custodial account liability. serve as a custodian for
amounts not listed in Part X, or provide credit counseling, debt management, credit repair, or debt negotiation services?
ll Yes. Complete Schedule 0. Pall Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent
endowments, or quasi-endowments? ll 'Yes, complete Schedule D, Part 10 
11 If the organization?s answer to any of the following questions is 'Yes,? then complete Schedule D, Parts VI, VII, IX, or 
as applicable.
a Did the organization report an amount for land, buildings, and equipment in Part X, line 10? ll 'Yes, complete Schedule D,
Part 11a 
Did the organization report an amount for investments - other securities in Part X, line 12 that is 5% or more of its total
assets reported in Part X, line 16? ll Yes, complete Schedule D, Part . 11b 
Did the organization report an amount for investments - program related in Part X, line 13 that is 5% or more of its total
assets reported in Part X. line 16? ll? 'Yes. complete SChEdUle 0. Pall Wl .. . ..  .. 116 
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in
Part x, line 16? ll 'Yes, complete Schedule D, Part lX .. 11d 
Did the organization report an amount for other liabilities in Part X, line 25? ll? 'Yes, camp?re SChedUle 0. Par! 116 
1' Did the organization's separate or consolidated ?nancial statements for the tax year include a footnote that addresses
the organization's liability for uncertain tax positions under FIN 43 (A30 740)? ll 'Yes, complete Schedule D, Part 11f 
123 Did the organization obtain separate, independent audited ?nancial statements for the tax year? ll complete
Schedule 0. Perle Xlencl .. 12a 
Was the organization included in consolidated, independent audited ?nancial statements for the tax year?
it 'Yes, and if the organization answered 'No' to line 12a, then completing Schedule D, Parts Xl and is optional 121) 
13 Is the organization a school described in section ll 'Yes, complete Schedule .. 13 
14a Did the organization maintain an of?ce, employees, or agents outside of the United States? . 14a 
I) Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, busmess.
investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000
or more? ll "Yes, complete Schedule F, Parts and . . 14b 
15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any
foreign organization? ll 'Yes, complete Schedule F. Parts and .. 15 
16 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to
or for foreign individuals? ll "Yes, complete Schedule F, Parts and 16 
17 Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX,
column (A), lines 6 and 11e? lf 'Yes,? complete Schedule G, Partl 1? 
18 Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part lines
?lc and 8a? ll 'Yes, complete Schedule 6: Perl Did the organization report more than $15,000 of gross income from gaming activities on Part line 9a? If Yes, 
complete Schedule 6, Perl .. 19 
Form 990 (2017)

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Form 990 2017 Financial Services Roundtable 36 0753125 Page4
I Fart Checklist of Required ?c?heduleS(conhnued)
Yes No
20a Did the organization operate one or more hospital facnlities? lf 'Yes, complete Schedule 20a 
If 'Yes" to line 20a, did the organization attach a copy of its audited ?nancial statements to this retum? 20b
21 Did the organization report more than $5,000 of grants or other assistance to any domestic organization or
domestic government on Part IX, column (A), line 1? ll 'Yes,? complete Schedule l, Parts and ll 21 
22 Did the organization report more than $5,000 of grants or other to or for domestic ndlviduals on
Part IX, column (A), line 2? ll 'Yes, complete Schedule l, Parts land 22 
23 Did the organization answer 'Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization?s current
and former officers, directors, trustees, key employees, and highest compensated employees? lf 'Yes, complete
Scheduled ..  . .. .. .. . ..  . .. . .. 2:3 
24a Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the
last day of the year, that was issued after December 31, 2002? ll 'Yes, answer lines 24b through 24d and complete
Schedule K. We: go to ?ne 25a 24a 
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? 24b
Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease
any taxexempt bonds? .. 24c
Did the organization act as an "on behalf of issuer for bonds outstanding at any time during the year? 24d
25a Section 501(c)(3), 501(c)(4), and 501(c)(29) organizations. Did the organization engage in an excess bene?t
transaction with a disquali?ed person during the year? lf 'Yes, complete Schedule L, Part 25a
is the organization aware that it engaed in an excess bene?t transaction with a disquali?ed person in a prior year. and
that the transaction has not been reported on any of the organization prior Forms 990 or If Yes. complete
Schedule Perl .. . . . .. 25b
26 Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or
former of?cers, directors, trustees, key employees, highest compensated employees, or disquali?ed persons? lf 'Yes, 
complete Schedule L. Part ll .. 26 
27 Did the organization provide a grant or other assistance to an of?cer, director, trustee, key employee, substantial
contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member
of any of these persons? ll complele Schedule L. Pall 27 
28 Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part lV
instructions for applicable ?ling thresholds, conditions, and exceptions)
a A current or former officer, director, trustee, or key employee? lf Yes, complete Schedule L, Part lv 23a 
A family member of a current or fomier of?cer, director, trustee. or key employee? lf Yes, complete Schedule L, Part lv 23b 
An entity of which a current or former officer, director trustee, or key employee (or a family member thereof) was an officer,
director, trustee, or direct or indirect owner? it Yes, complete Schedule L, Part 0/ 23c 
29 Did the organization receive more than $25,000 in non-cash contributions? lf Yes, complete Schedule 29 
30 Did the organization receive contributions of art, historical treasures, or other similar assets, or quali?ed conservation
contributions? lf 'Yes, complete Schedule .. 30 
31 Did the organization liquidate, terminate, or dissolve and cease operations?
lf 'Yes, complete Schedule N, Part 31 
32 Did the organization sell, exchane, dispose of or transfer more than 25% of its net assets? lf Yes, complete
Schedule N. Pall ll .. 32 
33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations
sections 301 .7?01-2 and 301.7701-3? lf 'Yes, complete Schedule Fl, Part 33 
34 Was the organization related to any tax-exempt or taxable entity? lf 'Yes, complete Schedule Fl, Part ll, or .IV, and
Particlnei ..  .  ..  . .. . 34 
35a Did the organization have a controlled entity within the meaning of section 512(b)(13)? 35a 
If 'Yes' to line 85a, did the organization receive any payment from or engage in any transaction with a controlled entity
within the meaning of section 512(b)(13)? lf 'Yes, complete Schedule B, Part v, line 2 35b 
36 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt noncharitable related organization?
it 'Yes, complete Schedule B. Part V. line 2 .. 36
37 Did the organization conduct more than 5% of its activities through an entity that is not a related organization
and that is treated as a partnership for federal income tax purposes? lf 'Yes, complete Schedule H, Part Vl 37 
38 Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part VI, lines 11b and 19?
Note. All Form 990 filers are required to complete Schedule 0 .. 38 
Form 990 (2017)

732004 11-28 17

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Form 990 2017 Financial Services Roundtable 36?0753125 nge_5_
- Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule 0 contains a response or note to any line in this Part 
Yes No
1a Enter the number reported in Box 3 of Form 1096. Enter 0- if not applicable 1a 5 0
Enter the number of Forms W-ZG included in line 1a. Enter if not applicable 1b
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming
(gambling) winnings to prize winners? .. .. 1: 
2a Enter the number of employees reported on Form W-3. Transmittal of Wage and Tax Statements.
filed for the calendar year ending with or within the year covered by this return 2a 3 5
If at least one is reported on line 23. did the organization ?le all required federal employment tax returns? 3) 
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-fiie (see instructions) 
3a Did the organization have unrelated business gross income of $1.000 or more during the year? as 
If "Yes." has it filed a Form 990-T for this year? if 'No. to iine 3b. provide an expianation in Scheduie 3b 
4a At any time during the calendar year. did the organization have an interest in. or a signature or other authority over. a
?nancial account in a foreign country (such as a bank account, securities account. or other ?nancial account)? 4a 
if "Yes," enter the name of the foreign country: 
See for ?ling requirements for Form 114. Fleport of Foreign Bank and Financial Accounts (FEAR).
5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? 5a 
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? 5b 
If 'Yes.? to line 5a or so. did the organization ?le Form 888?? .. 5e
(is Does the organization have annual gross receipts that are normally greater than $100000. and did the organization solicit
any contributions that were not tax deductible as charitable contributions? 63 
If 'Yes.? did the organization include with every solicitation an express statement that such contributions or gifts
were not tax deductible? .. 6b
7 Organizations that may receive deductible contributions under section 170(c).
a Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payer? 7a
If Yes. did the organization notify the donor of the value of the goods or services provided? . Tb
Did the organization sell. exchange. or otherwise dispose of tangible personal property for wh ich rt was required
to ?le Form 8282? .. Tc
If 'Yes.? indicate the number of Forms 8282 ?led during the year L7d I
Did the organization receive any funds. directly or indirectly. to pay premiums on a personal bene?t contract? I, 7e
1 Did the organization. during the year. pay premiums. directly or indirectly. on a personal bene?t contract? 71
If the organization received a contribution of quali?ed intellectual property. did the organization ?le Form 8899 as required?? 7
It the organization received a contribution of cars. boats. airplanes. or other vehicles. did the organization ?le a Form 1098-0? 7h
8 Sponsoring organizations maintaining donor advised funds. Did a donor advised fund maintained by the
sponsoring organization have excess business holdings at any time during the year? 8
9 Sponsoring organizations maintaining donor advised funds.
a Did the sponsoring organization make any taxable distributions under section 4966? 9a
Did the sponsoring organization make a distribution to a donor. donor advisor. or related person? 9b
10 Section 501(c)(7) organizations. Enter:
a Initiation fees and capital contributions included on Part line 12 10a
Gross receipts. included on Form 990. Part line 12. for public use of club facilities 10b
11 Section 501(c)(12) organizations. Enter:
3 Gross income from members or shareholders .. "or
Gross income from other sources (Do not not amounts due or paid to other sources against
amounts due or received from them.) .. 11b
12a Section 4947(a)(1) non-exempt charitable trusts. Is the organization ?ling Form 990 in lieu of Form 1041? 123
If 'Yes.? enter the amount of tax-exempt interest received or accrued during the year .. 12b
13 Section 501(c)(29) quali?ed nonprofit health insurance issuers.
a Is the organization licensed to issue quali?ed health plans in more than one state? 13a
Note. See the for additional information the organization must report on Schedule 0.
Enter the amount of reserves the organization is required to maintain by the states in which the
organization is licensed to issue quali?ed health plans 13b
Enter the amount of reserves on hand .. 136
14a Did the organization receive any payments for indoor tanning services during the tax year? 14a 
If 'Yes." has it ?led a Form 720 to report these payments? if 'No. provide an expianation in Scheduie .. 14b
Form 990 (201?)

732005 1 1-28- 1 7

Form 990 2017) Financial Services Roundtable 36-0753125 Page6
overnance, Management, and Disclosure For each 'Yes' response to lines 2 through 7b below, and fora 'No response
to line 8a. 8b, or 10b below, describe the circumstances, processes, or changes in Schedule 0 See instructions.

Check if Schedule 0 contains a response or note to any line in th 5 Part Section A. Govemi?g Body and Management

 

Yes No

 

1a Enter the number of voting members of the goveming body at the end of the tax year  . 1a 2 5
if there are material differences in voting rights among members of the governing body, or if the governing
body delegated broad authority to an executive committee or Similar committee, explain in Schedule 0.

Enter the number of voting members included In line ?la, above. who are independent 1b 2 5

2 Did any officer. director. trustee. or key employee have a family relationship or a busmess relationship with any other
of?cer director trustee. or key employee? I . I  

3 Did the organization delegate control over management duties customarily performed by or under the direct supervision
of of?cers, directors. or trustees. or key employees to a management company or other person? 

4 Did the organization make any Significant changes to its governing documents since the prior Form 990 was ?led? 

Did the organization become aware durin the year of a signi?cant diversion of the organization?s assets? 

6 Did the organization have members or stockholders? .  . 
"Is Did the organization have members, stockholders. or other persons who had the power to elect or appoint one or
more members of the governing body? .. .  7a
Are any governance decisions of the organization reserved to (or subject to approva. by) members. stockholders. or
persons other than the goveming bodyDid the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a The governing body? .. 83
Each committee with authority to act on behalf of the governing body? St)
9 Is there any officer. director. trustee or key employee listed in Part VII, Section A. who cannot be reached at the
organization's mailing address? if ?Yes. provrde the names and addresses in Schedule 0 9 
Section B. Policies (T his Section requests information about policies not required by the intemai Revenue Code.)

 

 

 

 



 

 

 



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Yes No
1021 Did the oroenlzatlon have local chapters branches. or af?liates? .. 103 
it "Yes: did the organization have written policies and procedures governing the activities of such chapters. affiliates.
and branches to ensure their operations are consistent with the organization's exempt purposes? 10b
1 1a Has the organization provided a complete copy of this Fomi 990 to all members of its governing body before filing the form? 11a
is Describe in Schedule 0 the process. if any. used by the organization to review this Fomi 990.
12a Did the organization have a written con?ict of interest policy? it No, go to line 13  .  123
Were officers, directors. or trustees, and key employees required to disclose annually interests that could give rise to conflicts? 121:
Did the organization regularly and consistently monitor and enforce compliance with the policy? it 'Yes. describe
in Schedule 0 how this was done .. 126
13 Did the organization have a written whistleblower pol cy? 13
14 Did the organization have a written document retention and destruction policy? . 14
15 Did the process for determining compensation of the following persons include a review and approval by independent
persons. comparability data. and contemporaneous substantiation of the deliberation and deCIsion?
a The organization's CEO. Executive Director, or top management of?cial 15a
Other of?cers or keir employees of the organization .. 15b
If 'Yes' to line 15a or 15b, describe the process in Schedule 0 (see instructions).
16a Did the organization invest in. contribute assets to. or participate in a ioint venture or similar arrangement with a
taxabieentityduringtheyear'Yes.? did the organization follow a written policy or procedure requiring the organization to evaluate its participation
in joint venture arrangements under applicable federal tax law. and take steps to safeguard the organization's
exempt status with respect to such arrangements? .. 16b 
Section 0. Disclosure
17 List the states with which a copy of this Form 990 is required to be ?led FDC
18 Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable). 990. and 990T (Section 501(c)(3)s only) available
for public inspection. Indicate how you made these available. Check all that apply.
Own website i:i Another?s website if] Upon request Other (explain in Scheduie O)
19 Describe in Schedule 0 whether (and if so. how) the organization made its govemin documents, conflict of interest policy. and financial
statements available to the public during the tax year.
20 State the name. address. and telephone number of the person who possesses the organization's books and records: 

Jeremy Newell (202) 289?4322
600 13th Street, NW, Suite 400, Washington, DC 20005
T32006 11-23-1r Form 990 (2017)
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Compensation of Officers. Directors. Trustees. Key Employees. Highest Compensated
Employees. and Independent Contractors
Check if Schedule 0 contains a response or note to any line in this Part VII 
Section A. Officers. Directors. Trustees. Key Employees. and High_est Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization's tax year.
0 List all of the organization's current officers, directors, trustees (whether individuals or organizations). regardless of amount of compensation.
Enter -0- in columns (D), (E). and (F) if no compensation was paid.
0 List all of the organization's current key employees. if any. See instructions for de?nition of 'key employee.?
0 List the organization's five currenthighest compensated employees (other than an officer. director. trustee. or key employee) who received report-
able compensation (Box 5 of Form W-2 and/or Box 7 of Form of more than $100,000 from the organization and any related organizations.
0 List all of the organization ?5 former officers. key employees, and highest compensated employees who received more than $100,000 of
reportable compensation from the organization and any related organizations.
0 List all of the organization ?3 former directors or trustees that received. in the capacity as a former director or trustee of the organization.
more than $10,000 of reportable compensation from the organization and any related organizations.

List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest compensated employees;
and former such persons.

Form 990 2017) Financial Services Roundtable 36?075 3125 pa e7
 Eart 

Check this box if neither the organization nor any related organization compensated any current officer, director. or trustee.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1A) (B) (92 (D) (E) (F)
Name and Title Average [do no. one Reportable Reportable Estimated
hours per box. unless person is botl'l an compensation compensation amount of
week may dim?wm'?) from from related other
(list any 3 the organizations compensation
hours for :3 3 organization from the
related a organization
organizations 2 and related
below  s, ?33 organizations
line) g?  
(1) Brian T. Moynihan 00
Chairman 0 . 0 0 
(2) Michael Tipsord 1 . 00
Chairman Elect 0 . 0 0 
13) Ajaypal s. Bongo 1.00
Immediate Past Chairman 0 0 0 
William H. Rogersl Jr. 1 00
BITS Chairman 0 . 0 0 
Kessel stalling 1.00
Treasurer 0 . 0 0 
(6) Thomas J. McInerney 1 00
Director 0 0 0 
(7) Frederick H. Weddell 1 . 00
Director 0 . 0 0 
Theodore A. Nathan 1 . 00
Director 0 0 0 
Daryl G. 1.00
Director 0 0 0 
(10) Paul C. Reilly l. 00
Director 0 . 0 0 
(11} J. Eric Smith 1 . 00
Director 0 0 0 .
(12) Stephen D. Steinour 1 00
Director 0 0 0 
{13} Christopher a. 3ng . 00
Director 0 0 0 -
(14) John P. Barnes 1. 00
Director 0 0 0 .
(15} 1William Emerson 1.00
Director 0 0 0 -
(16) David I. McKay 
Director 0 . 0 0 
(17) Richard McKenney 1 00
Director 0 0 0 .
r3200? 11-23-17 Form 990(2017)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Financial Services Roundtable 36?0753125 Pq??
a Section A. Officers. Directors, Trustees. Key Ern-aloyees, and?gllest Compensated Employees (continuedName and title Average (do no, afgf?'ggmn one Reportable Reportable Estimated
hours Per box. unless person is both an compensation compensation amount of
week ?a from from related other
(list any .3 the organizations compensation
hours for in 3 organization from the
related ?3 organization
organizations 3 g? and related
below a :3 organizations
5 
(18} Robert L. Reynolds 1 . 00
Director 0 0 0 
(19} Roger Crandall 1 . 00
Director 0 . 0 . 0 .
(20) Daniel J. Houston 1 00
Director 0 0 0 
(21) Scott a. Powsll 1.00
Director 0 0 0 
(22) Margaret Keane 1 0 0
Director 0 0 . 0 .
(23lKe11y 5. King 1.00
Director 0 0 . 0 
(24} Walter White 1 . 00
Director 0 . 0 . 0 .
{25) Thomas J. Wilson 1 . 00
Director 0 0 0 .
{26) Timothy Pawlenty 50 00
cm) 3,862,364. 0. 38,878.
Sub?total 3.352.354? 0- 33:373-
r514r610' 0- 438:301-
Total(addlines1band1c). . ..  .. I 8:376:974- 0- 477.179-
2 Total number of individuals (including but not limited to those listed above) who received more than $100.000 of reportable
compensation from the organization 3 1
Yes No
3 Did the organization list any former officer, director. or trustee, key employee. or highest compensated employee on
line 1a? if 'Yes. complete Scheduie for such individuai .. 3 
4 For any individual listed on line 1a. is the sum of reportable compensation and other compensation from the organization
and related organizations greater than $150,000? if ?Yes, compiete Scheduie for such individuai 4 
5 Did any person listed on line 1a receive or accrue compensation irom any unrelated organization or individual for services
rendered to the organization? if 'Yes. compiefe SChedUie for parson .. 5 

 

 

 

 

Section B. Independent Contractors

 

1 Complete this table for your ?ve highest compensated independent contractors that received more than $100,000 01 compensation from
the organization. Report compensation for the calendar year ending with or within the organization's tax year.

 

 

 

 

 

 

 

 

 

 

(A) (B) (0)
Name and business address Description of services Compensation

Barnett Sivon, 2550 Street, NW, 8th
Floor, Washington, DC 20037 Consulting 521,973.
Gibson, Dunn Crutcher LLP
P.0 Box 840723, Los Angeles, CA 90084 Consulting 241,124.
The Boston Consulting Group, Inc.
P.0. Box 75200, Chicago, IL 60675 Consulting 225,000.
Spencer Stuart, 353 N. Clark Street, Suite
2400, Chicago, IL 60654 Consulting 222,706.
Smith Free Group, 1401 Street, NW, Suite
1200, Washington, DC 20005 Consulting 132,000.
2 Total number of independent contractors (including but not limited to those listed above) who received more than

$100 000 of compensation from the organization 7

See Part VII, Section A Continuation sheets 

732003 1 1-28- 1 

8

Financial Services Roundtable

36?0753125

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Form 990
art 1 Section A. Officers, Directors, Trustees, Key Employees. and Hm Compensated Employees (continued)
(A) (B) (C) (D) (E) (F)
Name and title Average Position Reportable Reportable Estimated
hours (check all that appiy) compensation compensation amount of
per from from related other
week g. the organizations compensation
(list any 3 organization from the
hours for 1:5 organization
related and related
organizations :51 organizations
below 3 a a
line)  a 5* 
(27) John Dalton 50. 00
President, HPC 803,644. 0. 37,800.
(23) Christopher Feeney 50 . 00
PresidentI BITS 822,424. 0. 67,023.
(29) Eric Hoplin 50. 00
Executive Director' FSR 570,104. 0. 40,306.
(30} Eric Selk 
Executive Director, Hope Now 234, 906. 0 . 39 ,704.
(31} Ed Demerco 50.00
President, HPC 309,044. 0. 4,438.
(32) Paul Leonard 50 . 00
VP of Government Affairs 428,604. 0. 74,146.
{33) Kevin Foster 50.00
VP and Sr. Counsel 379,034. 0. 47,530.
(34) Anthony Cimino 50 . 00
VP of Government Affairs 421,034. 0. 44,783.
(35) Francis Creighton 50 . 00
EVP of Government Affairs 271,334. 0. 27,570.
(36) Jason Kratovil  . 00
VP of Government Affairs 274,482. 0. 55,001.
.. 4.514.610- 433.301-

 

 

 

 

732201
04-01-1?

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Form 990 2017 Financial services Roundtable 35*0753125 Page9
 Statement of Revenue
Check if Schedule 0 contains a response or note to any line in this Part .. . .  
i (B) (C) I 
Tota  revenue Related or_ Unrelated 
exempt function busrness sections
revenue revenue 512 514
$2 42 1 a Federated campaigns 1a
3 a 0 Membership dues .. H:
g; Fundraising events 1c
is; Related organizations 1d
23' Government grants (contributions) 1e
a 1' All other contributions. gifts. grants. and
a 3 similar amounts not included above 11* 200 . 000 -
9 Noncash contributions included in lines 
5 Total. Add lines not .. 200.000-
Business 00
3 2 a Membership dues 900099 17,224,225. 17,224,225.
FinTech Ideas Festival 900099 1,611,335. 1,611,335.
2 Coalition income 900099 1,559,731. 1,559,731.
Meetings a conferences 900099 867,912. 057,912.
a Corporate Social Responsibility 900099 560,000. 560,000.
All other program service revenue 909099 34.940- 34.940-
g_Total.Add lines 2a-2f .. 21.903.143-
3 Investment income (including dividends. interest. and
other similar amounts) 72.040- 72.040-
4 Income trom investment of tax-exempt bond proceeds 
5 Royalties .. 13.533- 13.333.
Real Personal
6 a Gross rents 
Less: rental expenses 
Rental income or (loss) 
:1 Net rental income or (loss) .. 
7 a Gross amount from sales of Securities (in Other
assets other than inventonr
Less: cost or other basis
and sales expenses 
Gain 0! (loss) ..
Net gain or (loss) .. 
a 8 a Gross income from fundraising events (not
3 including 5 of
contributions reported on line 1c). See
5 Part IV. line 18 .. a
Less: direct expenses 
Net income or (loss) from fundraising events .. 
9 :1 Gross income from gaming activities. See
Part IV. ""819 .. a
Less: direct expenses .. 
Net income or (loss) from gaming activities .. 
10 a Gross sales of inventory. less returns
and allowances .. a
Less: cost of goods sold 
Net income or (loss) from sales of inventon;  .. 
Miscellaneous Revenue Business Co
11 a Net. unrelated partnership income 518210 640,717. 640,?17.
other income 900099 5,601. 5,601.

All other revenue ..
Total-Addlinesiia-ild .. 545.313-
12 Total revenue-.5490 instructions. 5 22,845,334. 21,913,744. 640.?17. 90,873.
732000 11-20-17 Form 990 (2017)

10

Form 990 2017 Financial Services Roundtable 36?0753125 pa eto
art Statement of Functional Expenses

Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Check if Schedule 0 contains a response or notebt?t; any line in this Part  . . to) . .. D) l._l
Do not include amounts re rted on lines Bibsepia. erases Peres?? teases: arises
1 Grants and other assistance to domestic organizations
and domestic governments. See Part IV, line Grants and other assistance to domestic
individuals. See Part IV. line 22 
3 Grants and other assistance to foreign
organizations, foreign governments, and foreign
individuals. See Part lV, lines 15 and 16 
4 Benefits paid to or for members 
5 Compensation of current officers, directors,
imstees. and key employees .. Compensation not included above, to disqualified
persons (as defined under section 495B(f)(1)) and
persons described in section 4958(c)(3)(B)
7 Other salaries and wages 4 24 4 35 5 
a Pension plan accruals and contributions (include
section 401(k) and 403(b) employer contributionsOther employee bene?ts .. 562 158 -
10 Payroll taxes .. Fees for services (nonemployees):
a Management ..
Legal 226,774.
Accounting . 25,936.
Lobbying 701,305.
9 Protessmna fundraismg servrces. See Part IV, line 17
1' investment management fees 
9 Other (If I ne 11g amount exceeds 10% of line 25,
co'umn (A: amount, list line 119 expenses Advertising and promotion  
13 Of?ce expenses .. 341 028-
14 Information technology Royalties ..
16 Occupancy .. 1:354:234?
17 Travel .. 192-989-
18 Payments of travel or entertainment expenses
for any federal. state, or local public of?cials
19 Conferences. conventions, and meetings 2 711 84 5 -
20 Interest ..
21 Payments to affiliates ..
22 Depreciation, depletion, and amortization  Insurance  ..  .. .. 79:754-
24 Other expenses. Itemize expenses not covered
above. (List miscellaneous expenses In line 24s. It line
24e amount exceeds 10% of line 25, column (A)
amount, ist I no 24e expenses on Schedule 0.)
a Coalition expenditures 1,470,803.
Unrelated bus . inc . tax 264 748 .

cl
All other expenses
25 Total functional expenses.Add lines 1 through 24s 21 81 8 518 .
26 Joint costs. Complete this line only it the Organization
reported column (B) )0 nt costs irom a combined
educational campaign and fundraismg solicitation.
Check here I a tollowmg SOP se 2 (ABC see-720)
T32010 11-25 1' Form 990(2017)

11

Financial Services Roundtable

36-0753125 Page11

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Form 990 (2017}
[Part Balance Sheet
Check if Schedule 0 contains a response or note to any line in this Part .. . . .. 
(A) (3)
Beginning of year End of year
1 .. 9:3271397- 1 5:110:533-
2 Savings and temporary cash investments Pledges and grants receivable, net I . 3
4 Accountsreceivablemet . .. ..  . 275,671- 4 392.853.
5 Loans and other receivables from current and former of?cers. directors,
trustees. key employees. and highest compensated employees Complete
Part IlotScheduleL .. .. .. .. 5
6 Loans and other receivables from other disquali?ed persons (as defined under
section 4958(1)(1)). persons described in section 4958(c)(3)(B). and contributing
employers and sponsoring organizations of section 501(c)(9) voluntary
employees? bene?ciary organizations (see instr). Complete Part II of 6
7 Notes and loans receivable. net .. 7
8 Inventories for sale or use .. 8
9 Prepaid expenses and deferred charges 103 Land. buildings. and equipment cost or other
basis. Complete Part VI of Schedule 10a Less accumulateddepreciation 10h 1:314:538- 2.349.190. 10c 2:009:184-
11 Investments - publicly traded securities . 11
12 Investments - other securities. See Part IV. line Investments - program-related. See Part IV. line 11 13
14 Intangible assets .. 14
15 Otherassets.SeePattIv.rne11 . .. 1:740:548- 15 2.443.555-
16 19 .443 .610 . 16 16 '7'78 ,117 .
17 Accounts payabe and accrued expenses . . Grants payable 18
19 Deferredrevenue 2.821.330- 19 18,038.
20 Tax-exempt bond liabilities   .  . 20
21 Escrow or custodial account liability. Complete Part IV of Schedule 21
its 22 Loans and other payables to current and former of?cers. directors. trustees,
key employees. highest compensated employees. and disquali?ed persons.
in Complete Part II or echeduIeL .. 22
23 Secured mortgages and notes payable to unrelated third parties 23
24 Unsecured notes and loans payable to unrelated third parties 24
25 Other liabilities (including federal income tax payables to related third
parties, and other liabilities not included on 'ines 17-24). Complete Part of
Scheduieo .. . ..  .. .. 2.671.642. 25 3,032,872.
26 .. 9,751,705. 26 5.540.048-
Organizations that follow SPAS 1 17 (A50 958). check here LKJ and
3 complete lines 27 through 29. and lines 33 and 34.
27 .. 9:591:905- 27 11.133.059-
3 28 Temporarily restricted net assets .. 28
29 Pemanently restricted net assets .. 29
,3 Organizations that do not follow SPAS 117 (A50 958). check here 
'6 and complete lines 30 through 34.
30 Capital stock or trust principal. or current funds 30
3 31 Paid-in or capital surplus. or land, building. or equipment fund 31
32 Retained earnings. endowment. accumulated income, or other funds .. 32
33 .. 9.691.905. 33 11.138.069-
34 Total liabilities and net assetslfund balances .. Form 990 (201 

11-28-13?

12

Form 990 (2017)
Part XI I Reconciliation of Net Assets

Financial Services Roundtable

Check if Schedule 0 contains a response or note to any line in this Part XI ..

354753125 @9912



 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1 Total revenue (must equal Part vm, column (A). line 12Total expenses (must equal Part IX. column (A). line 25Revenue less expenses. Subtract line 2 from line Net assets or fund balances at beginning of year (must equal Part X, line 33. column (AlNet unrealized gains (losses) on investments .. 5 112 i 6 35-
6 Donated services and use of .. 6
7 Investment expenses .. 7
8 Prior period adiustments . .. .  . ..  .. 8
9 Other changes in net assets or fund balances (explain in Schedule Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33
column .. to 11.133.059-
ancial Statements and Reporting
Check if Schedule 0 contains a response or note to any line this Part XII '3
Yes No
1 Accounting method used to prepare the Form 990. Cash Accrual  Other
If the organization changed its method of accounting from a prior year or checked '0ther,? explain in Schedule 0.
23 Were the organization 5 ?nancial statements compiled or reviewed by an independent accountant?  2a 
it Yes, check a box below to indicate whether the ?nancial statements for the year were compiled or reviewed on a
separate ba5is. consolidated basis, or both-
.  Separate ba5is Consolidated basis i Both consolidated and separate basis
Were the organization 5 ?nancial statements audited by an independent accountant? 2b 
If Yes.? check a box below to indicate whether the financial statements for the year were audited on a separate basts.
consolidated basis. or both.__ .
Separate basis . Consolidated basis Both consolidated and separate ba5is
If 'Yes to line 2a or 2b, does the organization have a committee that assumes responsibility for overSight of the audit,
review. or compilation of its ?nancial statements and selection of an independent accountant? 2c 
lithe organization changed either its oversight process or selection process during the tax year, explain in Schedule 0.
3a As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit
AstandOMBcircuiarA-iss'i.   .. ..  ..     set 
If Yes did the organ ization undergo the reqUired audit or audits? If the organization did not undergo the required audit
or aud its. explain why in Schedule 0 and describe any steps taken to undergo such audits .. 3b
Form 990 (2017)

?32012 11-28-1?

13

 PUBLIC DISCLOSURE COPY 

 

 

 

 

 

Schedule Schedule of Contributors 0MB 154500?

990* 99?53 5 Attach to Form 990. Form 990-EZ. or Form 990-PF.

or: 990:2)? Treasury Go to for the latest information.  1 7

Internal Revenue Service

Name of the organization Employer identi?cation number
Financial Services Roundtable 36?0753125

Organization type(check one):

Filers of: Section:

Form 990 or ego??2 501(c)( 6 )(enter number) organization

4947(a)(1) nonexempt charitable trust not treated as a private foundation
52? political organization
Form 990-PF 501 exempt private foundation

4947(a)(1) nonexempt charitable trust treated as a private foundation



501(c)(3) taxable private foundation

 

Check if your organization is covered by the General Rule or a Special Rule.
Note: Only a section 501(c)(7). (8). or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.

General Rule

For an organization ?ling Form 990. 990-EZ. or 990-PF that received, during the year. contributions totaling $5,000 or more (in money or
property) from any one contributor. Complete Parts I and II. See instructions for determining a contributor's total contributions.

Special Rules

For an organization described In section 501(c)(3) ?ling Form 990 or 990-EZ that met the 33 1.8% support test of the regulations under
sections 509(a)(1) and 170(b)(1)(A)(v0. that checked Schedule A (Form 990 or Part II. line 13. 16a, or 16b. and that received from
any one contributor, during the year. total contributions of the greater of (1) $5.000; or (2) 2% of the amount on (0 Form 990, Part line 1h;
or (ii) Form line 1. Complete Parts I and II.

For an organization described in section 501 (8). or (10) ?ling Form 990 or 990-EZ that received from any one contributor. during the
year. total contnbutrons of more than $1.000 exclusively for religious. charitable. scientific, literary. or educational purposes, or for
the prevention of cruelty to children or animals. Complete Parts I, II, and 

I: For an organization described In section 501(c)(7). (8), or (10) ?ling Form 990 or QQO-EZ that received from any one contributor, during the
year. contributions exclusrvely for religious. charitable, etc.. purposes, but no such contributions totaled more than $1,000. If this box
is checked. enter here the total contributions that were received during the year for an exclusively reliious. charitable. etc..
purpose. Don complete any of the parts unless the General Rule applies to this organization because it received nonexclusiveiy
religious. charitable, etc . contributions totaling $5,000 or more during the year 

 

Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't ?le Schedule 8 (Form 990. 990-EZ. or QQO-PF),
but it must answer 'No' on Part IV. Irne 2, ct its Form 990: or check the box on line of its Fomi 990-EZ or on its Form 990-PF, Part I, line 2. to
certify that it doesn?t meet the filing requirements of Schedule (Form 990. 990-EZ, or 990-PF).

 

LHA For Paperwork Reduction Act Notice, see the instructions for Form 990, sec-E2. or 990-PF. Schedule (Form 990, 990-52, or ago-PF) (2017)

1.7

Schedule (Form 990. 990-EZ, or 990-PF) (2017)
Name of organization

Financial Services Roundtable

Paul

to
No.

Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.

(M

Page 2
Employer identi?cation number

 

36-0753125

 

1

Name. address, and ZIP 4

(Q

Total contributions



 

 



 



3 200.000.

Type of contribution

Person [Kl
payroll 

Noncash 

(Complete Part II for
noncash contributions.)

 

Name, address. and ZIP 4



Total contributions



 


No.

 

 



Type of contribution

Person I:
Pam" [1
Noncash 
(Complete Part II for
noncash contributions.)

 

Name, address. and ZIP 4

to
Total contributions


Type of contribution

 

 

(a

(bi

Person I:
Payroll El

Noncash 

(Complete Part II for
noncash contributions.)

 

No.

Name. address, and ZIP 4

(Q
Total contributions


Type of contribution

 

 

(a
No.

lb)

Person [3
Pam" 
Noncash 
(Complete Part II for
noncash contributions)

 

Name. address, and ZIP 4


Total contributions



 

 

 



Type of contribution

Person [3
Pawn" 
Noncash (3

(Complete Part ll for
noncash contributions.)

 

 

 

m) (d in
No. Name, address, and ZIP 4 Total contributions Type of contribution
Person [3
Payroll 

 

 

T215452 11-014?

 

 

Noncash :1
(Complete Part II for

 

 

15

noncash contributions.)

Schedule (Form 990. 990452, or 990-PF) (2017)

Schedule 6 (Form 990, 990-52. or 990-PF) (2017)

Page 3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Home of organization Employer identification number
Financial Services Roundtable 36?0753125
Part II Noncash Property (see instructions). Use duplicate copies of Part Ii if additional space is needed.

(G)
No- 
. . FMV (or estimate)
3:3: Description of noncash property given (See instructions.) Date received

FMV 
33' Description of noncash property given (See instructions.) Date received

FMV 
h, . . 9 .
PEI Description of noncash property given (See instructions.) Date received

non-ash property gwen (See instructions.) Date received
(3)
Msti toFri Description of noncash property given (see Instructions) Date received
(3)
(cinPg: Description of noncash property given (See instructions.) Date received

 

 

 

 

 

 

 

 

723453 11-01 1?

16

 

Schedule a or sown (2017)

Schedule a (Form 990. 990-52, or 990-PF) (2017)

Page 4

 

Name of organization

Financial Services Roundtable

Employer Identi?cation number

36?0753125

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

a we re luious, an e. ., oon on: organize one each I'll? ?at more than 
the year from any one contributor. Cemplete columns through and the following line entry. For organizations
completing Part enter the total of exclusively religious. charitable. etc. contributions of $1.000 or less for the year (El-lief mi; in?; once.) 3
Use duplicate copies of Part if additional space is needed.
No.
ggt?l Purpose of gift Use of gift Description of how gift is held
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
No.
333 Purpose of gift Use of gift Description of how gift is held
(9) Transfer of gift
Transferee's name. address. and ZIP 4 Relationship of transferor to transferee
No.
3303' Purpose of gift Use of gift Description of how gift is held
Transfer of gift
Transferee's name. address. and ZIP 4 Relationship of transferor to transferee
No.
gar?! Purpose of gift Use of gift Description of houilr gift is held
a
Transfer of gift
Transferee?s name, address. and ZIP 4 Relationship of transferor to transferee

 

 

 

 

 

 

 

F23454 11411-17

17

Schedule (Form 990, 990-EZ, or esoPr) (2017)

SCHEDULE 0 Political Campaign and Lobbying Activities WW 1545 

(Form 990 or 990-EZ)  17
For Organizations Exempt From Income Tax Under section 501(c) and section 527
- - - - - . 990-
mm of the Treasury Complete if the organization is described below Attach to Form 990 or Form EZ. open to Public
internal Revenue Servrce Go to for Instructions and the latest information. Inspection

If the organization answered l?Yes," on Form 990. Part IV. line 3. or Form 990-EZ. Part V, line 46 (Political Campaign Activities). then
0 Section 501(c)(3) organizations: Complete Parts l-A and B. Do not complete Part IO
0 Section 501(c) (other than section 501(c)(3)) organizations. Complete Parts HA and below. Do not complete Part IE.
0 Section 52? organizations: Complete Part l?A only
If the organization answered "Yes," on Form 990, Part IV. line 4. or Form 990-52. Part VI. line 47 (Lobbying Activities). then
0 Section 501(c)(3) organizations that have ?led Form 5768 (election under section 501 Complete Part l-A. Do not complete Part NB.
0 Section 501(c)(3) organizations that have NOT ?led Form 5768 (election under section 501 Complete Part II B. Do not complete Part II-A.
If the organization answered "Yes." on Form 990. Part IV. line 5 (Proxy Tax) (see separate instructions) or Form 990-EZ, Part V, line 35c (Proxy
Tax) (see separate instructions), then

0 Section 501 (5). or (6) organizations: Complete Part 
Name of organization Employer identi?cation number
Financial Services Roundtable 36?0753125
[Pei Complete ii the organization Is exempt under section 551(c) or is a section 7 organization.

 

 

 

 

1 Provide a description of the organization's direct and indirect political campaign activities in Part IV.
2 Poiiticai campaign activity expenditures .. 
3 Volunteer hours for political campaign activities

 

 

 

??art I-BI Complete if the organization is exempt under section 501(c)(3).

 

 

 

 

 

 

 

1 Enter the amount of any excise tax incurred by the organization under section 4955 I 
2 Enter the amount of any excise tax incurred by organization managers under section 4955  
3 If the organization incurred a section 4955 tax. did it file Form 4720 for this year? Yes No
4a Was a correction made? .. Yes El No
If ?Yes describe in Part IV.
I-CI Complete if the organization is exempt under section 551(c). except section 551(c)(3).
1 Enter the amount directly expended by the ?ling organization for section 527 exempt function activities 
2 Enter the amount of the ?ling organization's funds contributed to other organizations for section 52?
exempt function activities ..  .   5
3 Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL,
line we .. 
4 Did the ?ling organization ?le Form 1120-POL for this year? i_i Yes i_i No

5 Enter the names, addresses and employer identi?cation number (EIN) of all section 52? political organizations to which the filing organization
made payments. For each organization listed. enter the amount paid from the ?ling organization's funds. Also enter the amount of political
contributions received that were and directly delivered to a separate political organization. such as a separate segregated fund or a
political action committee (PAC). If additional space is needed. provide information in Part IV.

Name Address EIN Amount paid from Amount of political
filing organization's contributions received and
funds. If none. enter it. and directly
delivered to a separate
political organization.
If none. enter -0-.

 

 

 

 

 

 

 

 

 

 

 

 

For Paperwork Reduction Act Notice. see the Instructions for Form 990 or 990-EZ. Schedule (Form 990 or 990-EZ) 2017
LHA
732041 11-09-1?

18

Schedule 0 (Form 990 or 990152) 2017 Financ ial Servi ce 3 Roundt able
- omp etc I organlzatlon IS exempt un
section 501 
A Check if the ?ling organization belongs to an af?liated group (and list in Part IV each af?liated group member's name. address. 
expenses, and share of excess lobbying expenditures).
Check if the filing organization checked box A and 'limited control' provisions apply.

36?0753125 Page2
(election under

   
 

 

   

 

 

. . Filing Af?liated group
Limits on Lobbying Expenditures organization.s totals

(The term ?expenditures? means amounts paid or incurred.) totals

 

Total lobbying expenditures to in?uence public OplnlOI'I (grass roots lobbying)
Total lobbying expenditures to in?uence a legislative body (direct lobbying)
Total lobbying expenditures (add lines 1a and 1b)  
Other exempt purpose expenditures ..
Total exempt purpose expenditures (add lines 1c and 1d)  
Lobbying nontaxable amount. Enter the amount from the following table in both columns.

If the amount on line 1e, column or is: The lobbying nontaxable amount is:

Not over $500,000 20% of the amount on line 1e.

Over $500,000 but not over $1,000,000 $100,000 plus 15% of the excess over $500,000.
Over $1,000,000 but not over $1,500,000 $175,000 plus 10% of the excess over $1,000,000
Over $1,500 000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000.
Over $17,000,000 $1,000,000

 

 

 

 

 



 

 

 

 

 

 

 

 

 

 

 

Grassroots nontaxable amount (enter 25% of line 1f)

Subtract line 19 from line 1a. If zero or less, enter -0- 
Subtract line 1ffrom line 1c. If zero or less, enter -0-  

If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720
reporting section 4911 tax forthis year4-Year Averaging Period Under section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five columns below.
See the separate instructions for lines 2a through 

Lobbying Expenditures During 4-Year Averaging Period

 

SD

 

 

 

 



 

 

Calendar year

(or ?scal year beginning in) 2014 2015 2016 2017 Total

 

2a Lobbying nontaxable amount
Lobbying ceiling amount
(150% of line 2a, column(e))

 

 

Total lobbying expenditures

 

Grassroots nontaxable amount
Grassroots ceiling amount
(150% of line 2d, column 

 

 

 

 

 

 

 

Grassroots lobbying expenditures

 

Schedule (Form 990 or QED-E2) 2017

11320112 11-09-17

19

 
    

Schedule 0 (F0

Baillie]

mi 990 or990EZ) 2017 Financial Services Roundtable
omp ete I organization is exempt un a er section
(election under section 501 

  
  

 
 

36-0753125 Pages


    

 

For each 'Yes, response on lines is through ii below, prowde in Part iv a detailed description
of the lobbying 



 

Yes

No

Amount

 




II

If 'Yes,? enter the amount of any tax incurred under section 4912



During the year, did the filing organization attempt to in?uence foreign, national, state or
local legislation, including any attempt to in?uence public opinion on a legislative matter
or referendum. through the use of:

Volunteers? ..

Paid staff or management (include compensation in expenses reported on lines 1c through .

Media advertisements? ..

Mai ings to members legislators, or the public? 

Publications, or published or broadcast statements?

Grants to other organizations for lobbying purposes? . 
Direct contact With legislators, their staffs. government of?cials, or a legislative body?

Rallies, demonstrations, seminars, conventions, speeches. lectures. or any similar means? 

Other activities? 
Total.Addlines1cthrough1i. . .. . .
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)?

If 'Yes.? enter the amount of any tax incurred by organization managers under section 4912

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

if the ?lin - anization incurred a section 4912 tax, did it file Form 4720 for this year? 
plete if the organization is exempt under section 501 section 501(c)(5)I or section

 

1
2
3

   

 

 

 

 

 

 

 

501(c)(6)-
Yes No
Were substantially all (90% or more) dues received nondeductible by members?  1 
Did the organization make only in-house lobbying expenditures of $2,000 or less? 2 
Did the oranization aree to ca over lobb in and olitical cama?n activ' exenditures from the rior ear? 3 

 

Part II -B Complete if the organizations exempt under section 501(c)(4), section 501(c)(5), or section

501(c)(6) and if either BOTH Part lines 1 and 2, are answered OR Part line 3, is

answered "Yes."

 

M4

5

WI

 

 

 

 

 

 

 

 

Dues. assessments and similar amounts from members Section 162(e) nondeductible lobbying and political expenditures (do not Include amounts of political

expenses for which the section 527?) tax was paid).

Cumentyear  .. 23 5 r0313824'
Carryoverfromiastvear . . .. 2b (5:683:601'>
Total . .. .. . . 2c <651.777.>
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess

does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political

expenditure YearTaxable amount of lobbying and political expenditures (see instructionsSupplemental Information

Provide the descriptions required for Part l-A, line 1; Part I-B, line 4; Pan l-C. line 5; Part ll-A (af?liated group list); Part lines 1 and 2 (see
instructions): and Part line 1. Also, complete this part for any additional information.

Form 990, Schedule C, Part Line 2b

This line represents the cumulative excess of amounts communicated as

 

nondeductible to dues paying members over lobbying expenditures.

 

 

 

T320413 11-09-1?

20

Schedule 0 (Form 990 or 990-EZ) 2017

 

 

I I D, 
SCHEDULE Supplemental Financial Statements m"
(Form 990) Complete if the organization answered "Yes" on Form 990.  1 7

Part IV, line 6. 7. 8, 9, 10. 11a. 11b, 11c. 11d. 11e. 111'. 123. or 121).
Department of the Treasury Attach to Form 990. open 
internal Revenue Service )Go to for instructions and the latest information. ?Mm
Name of the organization Employer identi?cation number
Financial Services Roundtable 36?075 3125

 

 

I Part I I Organizations Maintaining?Donor Advised Funds or Other Similar Funds or Accounts.00mpiete if the
organization answered 'Yes? on Form 990. Part IV. line 6.

 

 

 

 

 

 

 

 

Donor advised funds Funds and other accounts

1 Totell number at end of year ..

2 Aggregate value of contributions to (during year) 

3 Aggregate value of grants from (during year) 

4 Aggregate Value at and 0f Year ..

5 Did the organization inform all donors and donor advisers in writing that the assets held in donor advised funds

are the organization's property. subject to the organization's exclusive legal control? Yes No

6 Did the organization inform all grantees. donors. and donor advisers in writing that grant funds can be used only

for charitable purposes and not for the bene?t of the donor or donor advisor. or for any other purpose conferring
im en'nissible rivate bene?t? .. Yes No
I Part II I Conservation Easements. Complete if the organization answered 'Yes' on Form 990, Part IV. line 7.
1 Purpose(s) of conservation easements held by the organization (check all that apply).
Preservation of land for public use recreation or education) Preservation of a historically important land area
Protection of natural habitat Preservation of a certi?ed historic structure

Preservation of open space
2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last

 

 

 

 

 

 

 

 

 

day of the tax year. Held at the End attire Tax Year
a Total number of conservation easements ..  .. . 2a
Total acreage restricted by conservation easements 2b
Number of conservation easements on a certi?ed historic structure included in 20
Number of conservation easements included in acquired after 7/25/06. and not on a historic structure
listed in the National Register .. 2d
3 Number of conservation easements modi?ed. transferred. released, extinguished. or terminated by the organization during the tax
rear 

 

4 Number of states where property subject to conservation easement is located 
5 Does the organization have a written policy regarding the periodic monitoring. inspection. handling of

 

 

violations. and enforcement of the conservation easements it holds? Yes I: No
6 Staff and volunteer hours devoted to monitoring. inspecting. handling of violations. and enforcing conservation easements during the year


7 Amount of expenses incurred in monitoring. inspecting. handling of violations. and enforcing conservation easements during the year


8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 

and section 170lhll4IIBIii0Part describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet. and
include, if applicable. the text of the footnote to the organization?s ?nancial statements that describes the organization's accounting for
conservation easements. 

I Part Organizations Maintaining Collections of Art. Historical Treasures. or Other Similar Assets.
Complete if the organization answered 'Yes' on Form 990. Part IV. line 8.

1a If the organization elected. as permitted under SFAS 116 (ASC 958). not to report in its revenue statement and balance sheet works of art.
historical treasures, or other similar assets held for public exhibition, education. or research in furtherance of public service. provide. in Part 
the text of the footnote to its ?nancial statements that describes these items.

If the organization elected, as permitted under SFAS 116 (A80 958). to report in its revenue statement and balance sheet works of art. historical
treasures. or other similar assets held for public exhibition. education, or research in furtherance of public service. provide the following amounts
relating to these items:

Revenue included on Form 990. Part line1 3
Assets included in Form 990 PartX  ..  . ..  .. 

2 If the organization received or held works of art. historical treasures. or other similar assets for ?nancial gain. provrde

the following amounts requrred to be reported under SFAS 116 (ASC 958) relating to these items

 

 

 

 

a Revenue included on Form 990. Part line 1 .. . 
Assets included in Form 990. Part .. . .. . 
LHA For Paperwork Reduction Act Notice. see the Instructions for Form 990. Schedule (Form 990) 2017

732051 10-09-17

21

  

Schedules Form 990 2017 Financial Services Roundtable 36?0753125 Pa 92
art Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assetsmonimued)
3 Using the organization's acquisition, accession and other record 5, check any of the following that are a Significant use of its collection items
(check all that apply).
a El Public exhibition El Loan or exchange programs
Scholarly research a Other
I: Preservation for future generations
4 Provide a on of the oranization collections and explain how they further the organization 5 exempt purpose in Part 
5 During the year, did the organization solicit or receive donations of art, historical treasures. or other similar assets 
to be sold to raise funds rather than to be maintained as art of the or anization's collectionEscrow and Custodial Arrangements. Complete if the organization answered ?Yes on Form 990, Part IV line 9, or
reported an amount on Form 990, Part X. line 21.

  
 

 

  
 

 
 

1a Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included
on Form 990, Part I: Yes I: No

If 'Yes,? explain the arrangement in Part and complete the following table:

Beginning balance ..
Additions during the year .. 1d
Distributions during the year . .. ..  . . .  .. 1e

Ending balance  .  .  . .. ..  .. .. . 11'
Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodlal account liability? Yes No
If 'Yes,? explain the arrangement in Part Check here if the explanation has been provided on Part .. 
IT?art I Endowment Funds. Complete if the organization answered 'Yes" on Form 990. Part IV, line 10.

Current year Prior year Two years back Three years back Four years back

eP-uaan

 

 

1a Beginning of year balance
Contributions . .
Net investment earnings gains. and losses
Grants or scholarships
Other expenditures for facilities
and programs
1? Administrative expenses
9 End of year balance 
2 Provide the estimated percentage of the current year end balance (line 19, column (all held as:
a Board designated or quaSI-endowment 
Permanent endowment 
Temporarily restricted endowment 96
The percentages on lines 2a 2b. and 20 should equal 100%.
3a Are there endowment funds not in the of the organization that are held and administered for the organization
by:
unrelated organizations 
Iii) related organizations .. ..
If 'Yes' on line 3a(ii), are the related organizations listed as required on Schedule 3b
4 Describe in Part the intended uses of the organization's endowment funds.
- Land, Buildings, and Equipment.
Complete if the organization answered ?Yes' on Form 990, Pait IV, line 11a. See Form 990, Part X, line 10.

 

 

 

 



 

 

 

 

 

 

 

 

 

 

 

 
 

 

 

 

 

 

 

 

 

 

 

 

 

Description of property (3) Cost or other Cost or other to) Accumulated Book value
basis (investment) basis (other) depreciation

13 Land ..
Buildings ..

Leaseholdimprovements 2,456,572. 833,841. 1,622,731.

(1 Equipment 857,300. 480,847. 385,453.
Other ..

Total. Add lines 13 through 1e. (Column must equal Form 990, Pan?X, column line 10cSchedule (Form 990) 2017

T132052 10-09-1?

22

 Financial Services Roundtable 36?0753125 pmma
Part VI-I Investments - Other Securities.
Complete if the organization answered 'Yes' on Form 990. Part IV, line 11b. See Form 990, Part X. line 12.
Description of security or category (including name of mnty) Book value Method of valuation: Cost or end-of~year market value
l1l FMancelde?va?ves 
(2) Closely-held equity interests 
(3) Other


(0)
(D)
(E)


(H)
Total. must equal Form 990, Part X, col. (B) line 12.) 
I Part Investments - Program Related.

if the ization answered 'Yes" on Form 990 Part IV line 110. See Form 990 Part line 13.
Description of investment Book value Method of valuation? Cost or end-of-year market value

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    

      
 

Total. Col. musl Form Part col. line 13.

if the answered 'Yes" on Form 990, Part IV. line 11d. See Form 990. Part X, line 15.
Description Book value

1De 

er erre co sat on an
on asset

must Form 990 Part col. line?

 

Complete if the organization answered 'Yes' on Form 990. Part IV, line He or 11t. See Form 990. Part X, line 25.

 

 

 

 

 

 

 

 

 

 

 

1_ Description of liability Book value
(1) Federal income taxes (2) Refundable advances 211,723 .
(3) Deferred rent 1,830,949.
(4) Deferred compensation liabilities 725,452.
State income tax payable 61 481 .
_(l_5l
(7)
(3)
(9)
Total. (Column must equal Form 990, PartX, col. line 25Liability for uncertain tax positions. In Part provide the text of the footnote to the organization's financial statements that reports the
organization's liability for uncertain tax positions under FIN 48 (A80 740). Check here if the text of the footnote has been provided in Part 
Schedule (Form 990) 2017

F32053 10-09-17

23

as gun Financial Services Ecundtable 36 $753125 r354

an cf new per A??li-il?dmci?l ?tsment? Wit?I1 Revenue par Hutu-n.
We Enlarger-1m ?I?ci' on Form 99D Part IV. 1223;915.295~



I Wetum?cedss-m?n?i?mmamn.. umh.uh . 2c

u?.mm. 2d

- Mdm?l?mush112.63541.674-

Mdiinaadamdau .. .. .   .  ..  an 
fetal sashes ..  .. 5 22, 845 334.

iatI-cn ?nancial Estimate 1Wltl'l 

if the ?gluten mews-Ii ?Yes' an Farm sec. Pan Inc 12a.
.m.mm . 1 
2 
I Weenies-sandmanme .. Ea
2b
..HH. .m.um .mshamans-{mum   ..  .. .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 21.313.513-
4 
I huesimentamensesmt Pirt?u'll'. 1m.Audi-Elnanddh .    .. 4-: 

 

 

 

 

Tctalc: .. 5 21.Hi?.518.
rt Wt: 

Picuca?rBdesc?mhnc miredhth-HL 1m 3. 5. and 9. Part has 1aaMd.Parter-es Wand 
Part II. InEsPc and Mun-131m.

 

Part I. Line 2:

 



Haggement evaluated the Rcundtahle's taut pcsiticns and that the
Rcundtable's financial statements dc include any uncertain tact

Ecsiticns.

 

Em: KI. Line Ether Adjustments:

 

Beck ta tax iE-l] 41,574.

 

 

 

 

 

732cm Inns 1! 
24

SCHEDULE I Grants and Other Assistance to Organizations, 0M5 mm?
(Form 990) Governments, and Individuals in the United States 
Complete if the organization answered "Yes" on Form 990, Part W, line 21 or 22.

Department of the Treasury Attach to Form 990. Open to Public
Go to the latest information. 1mm
Name of the organization Employer identification number

Financial Services Roundtable 36-0753125
LPartl General Information on Grants and Assistance

1 Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees eligibility for the grants or assistance. and the selection
criteria used to award the grants or assistanceDescribe in Part the organization's procedUres for monitoring the use of grant funds in the United States.
I Part I Grants and Other Assistance to Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on Form 990, Part IV. line 21 . for any
recipient that received more than $5.000. Part II can be duplicated if additional space is needed.

1 Name and address of organization EIN section Amount of Amount of Metmd Of (9) Desoription of Purpose of grant

0r government (if applicable) cash grant non-cash noncash assistance or assistance
ass stance 23th:? 

 

 

 

 

 

 

Americans for Tax Reform Research and publication
722 12th Street 1WI 4th Floor on how best to reform
Washington, DC 20005 52 1403587 501(c)(4) 35,000. (Ln/a n/a America's tax code.

 

 

 

 

 

 

 

 

 

 

 

 

 

2 Enter total number of section 501(c)(3) and government organizations listed .n the I1ne1 table  0 .
3 Enter tota number of other organizations isted in the ne 1 table ..  ..   . . ..  .   ..  . . . . .. 1 -
LHA For Paperwork Reduction Act Notice. see the Instructions for Form 990. Schedule I (Form 990) (2017)

 

732101 11-01 1: 25

 Financial Services Roundtable 36-0753125 pq?g

Part Grants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on Form 990. Part iv. line 22.
Part can be duplicated if additional space is needed.

 

Type of grant or assistance Number of Amount of Amount of non- (e Method of valuation Description of noncash assustance
recipients cash grant cash assistance (boo . FMV. appfalsal. other)

 

 

 

 

 

 

 

 

 

 

 

I Part IV I Supplemental Information. Provide the information required in Part I, line 2; Part Ill, column and any other additional information.
Part I, Line 2:

Roundtable management attend meetings with other stakeholders to
monitor progress and share its perspective. Roundtable management also
attended policy forums with senior members of congress they've hosted to

discuss these issues.

 

 

 

 

r32102 11.01.17 2 6 Schedule I (Form 990) (2017)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SCHEDULE Compensation Information emu-154m?
(Form 990) For certain Of?cers, Directors. Trustees, Key Employees. and Highest  i1 7
Compensated Employees
5 Complete if the organization answered ?Yes? on Form 990. Part IV, line 23.
Depanrnam or the Treasury Attach to Form 990. open to Pumic
internal Revenue Service Go to for instructions and the latest information. mm?
Name of the organization Employer identi?cation number
Financial Services Roundtable 36-0753125
IT?art Questions Regard-ii; Compensation
Yes No
?h Check the appropriate boxies) if the organization provided any of the following to or for a person listed on Form 990.
Part VII. Section A. line 1a. Complete Part to provide any relevant information regarding these items.
First-class or charter travel Housing allowance or residence for personal use
Travel for companions Payments for business use of personal residence
Tax indemnification and gross-up payments Health or social club dues or initiation fees
Discretionary spending account Personal services (such as. maid. chauffeur. chet)
If any of the boxes on line 1a are checked. did the organization follow a written policy regarding payment or
reimbursement or provision of all of the expenses described above? If complete Part to explain 1b
2 Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all rectors,
trustees. and of?cers. including the CEOfExecutive Director. regarding the items checked on line 1a? 2
3 Indicate which. if any. of the following the filing organization used to establish the compensation of the organization's
CEO/Executive Director. Check all that apply. Do not check any boxes for methods used by a reiated organlzation to
establish compensation of the CEOfExecutive Director. but explain in Part 
Compensation committee Written employment contract
Independent compensation consultant Compensation survey or study
Form 990 of other organizations Approval by the board or compensation committee
4 During the year. did any person listed on Form 990. Part VII. Section A. line 1a. with respect to the ?l ng
organization or a related organization:
a Receive a severance payment or changeof?control payment? 4a 
Participate in. or receive payment from. a supplemental nonqualified retirement plan? 4b 
Participate in. or receive payment from. an equity-based compensation arrangement? 4c 
If 'Yes' to any of lines 4a?c. list the persons and provide the applicable amounts for each item in Part II I.
Only section 501(c)(3), 501(c)(4). and 501ch29) organizations must complete lines 5-9.
5 For persons listed on Form 990. Part VII. Section A. line 1a, did the organization pay or accrue any compensation
contingent on the revenues of:
a The organizationAny related organization? .. 5b
If 'Yes' on line 5a er 5b. describe in Part 
6 For persons listed on Form 990. Part VII. Section A, line 1a. did the organization pay or accrue any compensation
contingent on the net earnings of:
a The organization? .. 6a
Any related organization? .. 6b
If 'Yes' on line Ba or 6b. describe in Part 
7 For persons listed on Form 990. Part VII. Section A, line 1a. did the organization provide any nonfixed payments
not described on lines 5 and 6? If "Yes.' describe in Part .. 7
8 Were any amounts reported on Form 990. Part VII. paid or accrued pursuant to a contract that was subject to the
initial contract exception described in Regulations section If 'Yes,? describe in Part 8
9 If 'Yes' on line 8. did the Organization also follow the rebuttable presumption procedure described in
Regulations section 9
LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule (Form 990) 2017



ar_a-I_17



Schedule (Form 990) 2017

Financial Services Roundtable

36-0753125

I Part II Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.

For each individual whose compensation must be reported on Schedule J. report compensation from the organization on row 6) and from related organizations. described in the instructions. on row (ii)
Do not list any individuals that aren?t listed on Form 990, Part VII.

Note: The sum of columns for each listed individual must equal the total amount of Form 990. Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.

Page 2

 

(A) Name and Title

(8) Breakdown of W-2 andfor 1099-MISC compensation

 

Base
compensation

(ii) Bonus 3.
incentive
compensation

Other
reportable
compensation

(C) Retirement and
other deferred
compensation

(D) Nontaxable

benefits

(E) Total of columns

(F) Compensation
in column (B)
reponed as deferred
on prior Form 990

EWHW

 

Timothy Pawlenty
CEO

in

1,810,558.

2,050,000.

1.806.

37,800.

3,901,242.

 

0.

0.

0.

0.

 

John Dalton
President, HPC


W)

443,644.

360,000.

0.

841,444.

 

0.

0.

0.

0

 

(3) Christopher Feeney
President, BITS


N)

429,652.

390,000.

2,772.

889,447:

 

0.

0.

0.

0.

 

Eric Hoplin
Executive Director, FSR


00

329,726.

240,000.

378.

610,410.

 

0.

0.

0.

0.

 

Eric Selk
Executive Director, Hope Now


N)

218,940.

15,000.

966.

274,610Demarco
President, HPC


in

233,834.

75,000.

210:

313,482.

 

0.

0.

0.

0.

 

Paul Leonard
VP of Government Affairs


in

355,832.

70,000.

2,772.

I
0000000000000

502,750.

 

0

0-

0.

 

Kevin Foster
VP and Sr. Counsel


N)

85,000:

966.

426,564.

 

0.

0.

0.

 

(9) Anthony Cimino
VP of Government Affairs


in

150,000.

336.

465,817.

 

0.

0.

0.

 

(10) Francis Creighton
EVP of Government Affairs


in

107,709.

163,625.

0.

298,904.

 

0.

0.

0.

 

(11) Jason Kratovil
VP of Government Affairs


W)

244,104.

378.

329,483732112 10-1?1?

28

Schedule (Form 990) 2017

Schedule (Form 990) 2017 Financi al Servi ces Roundtabl 
[Part Supplemental Information


36-0753125 Pages

rovide the information. explanation, or descriptions required for Part I, lines 1aand for Part II Also complete this part for any additional information.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Schedule (Form 990) 2017

732113 10-1114? 29

OMB No. 1545 0047

SCHEDULE 0 Supplemental Information to Form 990 or 990-EZ 

 

 

(Form 990 or 990.52) Complete to provide information for responses to speci?c questions on
Form 990 or 990-EZ or to provide any additional information. 
Department of the Treasury Attach to Form 990 Of MEI. Open to 
Internal Revenue Service Go to for the latest information. Inspection
Name of the organization Employer identification number
Financial Serv1ces Roundtable 36?0753125

 

 

Form 990, Part I, Line 1, Description of Organization Mission:

banking and financial policies and practices.

 

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 11b:

 

The 990 is prepared by the Roundtable's outside auditors. It is then

reviewed draft is circulated 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

LHA For Paperwork Reduction Act Notice. see the Instructions for Form 990 or 990-EZ. Schedule 0 (Form 990 or 990-EZ) (2017)
F32211 09-07 17

30

Schedule 0 (Form 990 or 990-EZ) (2017) Page 2

Name of the organrzation Employer identi?cation number
Financial Services Roundtable 36?0753125

 

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:

 

The Organization makes its governing documents, conflict of interest

policy, and financial statements available to the public upon request.

 

Form 990, Part XI, line 9, Changes in Net Assets:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Change in benefit plan obligation 348,387.
Book to tax -41,674.
Total to Form 990, Part XI, Line 9 306,713.
732212 09 of '1 Schedule 0 (Form 990 or 990-EZ) (2017)

31

OMB No. 1545-004?

 

SCHEDULE Related Organizations and Unrelated Partnerships
(Form 990) Complete if the organization answered "Yes" on Form 990, Part IV, line 33. 34, 35bAttach to FOTITI 990. We" to Public
partment oi the Treasury .
internal Burundi Service Go to for instructions and the latest information. 111511065011

Name of the organization Employer identification number
Financial Services Roundtable 36?0753125

Part I Identification of Disregarded Entities. Complete if the organization answered 'Yes' on Form 990, Part IV, line 33.

 

 

 

 

(bi lci id) (9) if)
Name, address, and EIN (if applicable) Primary activity Legal domicile (state or Total income End-of-year assets Direct controlling
of disregarded entity foreign country) entity

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Part Identi?cation of Related Tax-Exempt Organizations. Complete if the organization answered "Yes" on Form 990. Part IV. line 34. because it had one or more related tax-exempt
organizations during the tax yearSectlon 2(b](13:
Name, address. and EIN Primary Legal (state or Exempt Code Public charity Direct controlling ?mom
of related organization foreign country) section status (if section entity entity?
501 ?m3? Yes No
Financial Services Roundtable PAC Financial
53 0242039 600 13th Streetl NW, Suite 400 Services
Washington, DC 20005 Political Action Committee District of Columbia 527 Roundable 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule Fl (Form 99012017

732161 09-11-1? LHA 32

ScheduleFt(Form990)2017 Financial Services Roundtable 36?0753125 Pagez

pm Identification of Related Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990, Part IV. line 34, because it had one or more related
organizations treated as a partnership during the tax yearName. add ress. and EN Primary activity digit?!? Direct controlling Predominant income Share of total Share of Code Grimm! or Percentage
of related organization entity (mlated. Ultralaied. income end-of-year amount in box "?mgmg 
$333; excluded from tax under assets mm?? 20 of Schedule Wm"?

country} sections 512-514) ya; No K-t (Form 1065) 79 No

 

 

 

 

Registry ServiCes LLC Operate
45 4083790, 1120 Connecticut financial

Avenue' Washington, DC ervicee 
20036 to promote DE n/a Unrelated 647,491. 940,656. 33.33%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Part IV Identification of Related Organizations Taxable as a Corporation or Trust. Complete if the organization answered "Yes" on Form 990, Part IV, line 34. because it had one or more related
organizations treated as a corporation or trust during the tax year.

la) is) Sag!?
Name. address. and El Primary activity Legal domicile Direct controlling Type of entity Share of total Share of Percentage 512M131
of related organization (stat! or entity (C corp, corp. income end-of-year 
or trust) assets 5'
?mm Yes No

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3 3 Schedule a (Form 990) 2017

732162 09-11-1?
See Part VII for Continuations

Schedule (Form 990) 2017

Financial Services Roundtable 36-0753125 Page3

Part Transactions With Related Organizations. Complete if the organization answered "Yes' on Form 990 Part IV. line 34. 35b. or 86.

 

Note: Complete line 1 if any entity is listed in Parts ll, Ill. or IV of this schedule.

1







Eco

a.

Yes

 

During the tax year. did the organization engage in any of the following transactions with one or more related organizations listed in Parts ll-IV?
Receipt of interest. (ii) annuities. (Iii) royalties. or (iv) rent from a controlled entity 
Gift. grant. or capital contribution to related organizationts) 
Gift. grant. or capital contribution from related organizationls) 
Loans or loan guarantees to or for related organ izationls) 
Loans 0' loan guarantees by ralated OlQan'lZa'tionlsl ..

 

1a
1b
1c
1d
1e

 

 

 

 

 

Dividends from related Organizationlsl ..
Sale of assets to related organizationiSl ..
Purchase of assets from related organizati0n(5) ..
Exchange of assets with related OrganizatienlS) ..
Lease of facilities. equipment. or other assets to related organization(s}

 

 

 

 

 

1k
1 
1m
1n
to

Lease of facilities. equipment. or other assets from related organizationls) 
Performance of services or membership or fundraising solicitations for related organizat onls
Performance of services or membership or fundraising solicitations by related organizationljs)
Sharing of facilities. equipment. mailing lists. or other assets with related organizationls) 
Sharing of paid employees with related organizationls)

 

 

 

 

 

5 MNM 

Reimbursement paid to related organizationls) for expenses
Reimbursement paid by related organizationls) for expenses

1P
1?l

 

 

1r
15

Other transfer of cash or property to related organizationls)
Other transfer of cash or property from related organization(s) 

 

NM

 

 

 

 

If the answer to any of the above is "Yes." see the instructions for informaton on who must complete this line. including covered relationships and transaction thresholds.

 



Name of related organization

lb) is) 
Transaction Amount involved Method of determining amount involved
type (as)

 

(1)

 

(2)

 

l3)

 

(4)

 

(5)

 

l6)

 

 

 

 

732163 09-11-17

3 4 Schedule a (Form 990) 2017

scheduIeR{Formggo)2017 Financial Services Roundtable 36?0753125 Paged.

Part VI Unrelated Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990. Part IV, line 37.

Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue)
that was not a related organization. See instructions regarding exclusion for certain investment partnerships.

?lei (9) U) 
Name, address. and EIN Primary activity Legal domicile Predominant income pamg?lgec. Share of Share of Disnropot- Code V-UBI General ?Percentage

- related, unrelated, 501m] 3] innate ?amount in box 20 managing 
of entity (state or foreign exc?uded "om tax under a, 5L total endof year Imam, of Schedule K4 Dam"? ownership

country) sections 512-514) Yes No income assets Ya: No (Form 1055) Yes No

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Schedule (Form 990) 2017

732164 09-11-1? 

ScheduleR(Form 990}2o17 Financial Services Roundtable 36?0753125 pages
[Elli  I Supplemental Information.
Provide additional information for responses to questions on Schedule H. See instructions.

Part Identification of Related Organizations Taxable as Partnership:

 

Name of Related Organization:
Registry Services LLC
Primary Activity: Operate financial services TLDs to promote safety and

security.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

v32155 09-11-17 Schedule Fl (Form 990] 2017
36

Form 8868 Application for Automatic Extension of Time To File a
(Rev-January 2017) Exempt Organization Return OMB No. 15454709

Went of the new?, I File a separate application for each return.
Internal Revenue Service Information about Form 8868 and its instructions is at .

 

Electronic filing You can electronically file Form 8868 to request a 6-month automatic extension of time to file any of the
forms listed below with the exception of Form 8870. Information Return for Transfers Associated With Certain Personal Bene?t
Contracts, for which an extension request must be sent to the IRS in paper format (see instructions). For more details on the electronic
filing of this form, visit click on Charities Non-Profits, and click on e-?le for Charities and Non-Profits.

 

Automatic 6-Month Extension of Time. Only submit original (no copies needed).

All corporations required to ?le an income tax return other than Form 990T ?ncluding 1120-C filers), partnerships, REMICs. and trusts
must use Form 7004 to request an extension of time to file income tax returns.

 

Enter filer's identifying number

 

 

 

 

 

Type or Name of exempt organization or other ?ler, see instructions. Employer identification number (El N) or

Haw? Financial Services Roundtable 36?0753125
due date for Number, street. and room or suite no. If a PO. box. see instructions. Social security number (SSN)
my; 600 13th Street, NW, No. 400
'"Stmciimii- City, town or post office, state. and ZIP code. For a foreign address, see instructions
Washington, DC 20005

 

 

 

 

 

 

 

 

Enter the Return Code for the return that application 5 for (file a separate application for each returnApplication Return Application Return
Is For Code Is For Code
Form 990 or Form 990-EZ 01 Form 990T (corporation) 07
Form 990-BL 02 Form 1041-A 08
Form 4720 (ind rvrdual) 03 Form 4720 (other than 09
Form 04 Form 5227 10
Form 990-T (sec 401 or 408(a) trust) 05 Form 6069 11
Form 990T (trust other than above) 06 Form 8870 12

 

 

 

 

Jeremy Newell
Thebooksareinthecareof?   Street, NW,   waShington,  

 

 

 

 

TelephoneNo.) (202) 289?4322 FaxNo. 
0 If the organization does not have an office or place of business in the United States. check this box 
I If this is for a Group Retum. enter the organization?s four digit Group Exemption Number (GEN) . If this is for the whole group. check this
box I: . If it is for part of the group, check this box i: and attach a list with the names and EINs of all members the extension is for.
1 I request an automatic 6-month extension of time until November ?le the exempt organization return

 

for the organization named above. The extension is for the organization's return for:

calendar year 2 0 1 7 0r

'3 tax year beginning . and ending .

2 If the tax year entered in line 1 is for less than 12 months. check reason: L_i Initial return Final return

Change in accounting period
3a If this application is for Forms 990PF, QQO-T, 4720, or 6069. enter the tentative tax. less any
nonrefundable credits. See instructions. 3a 0 -
If this application is for Forms 990-PF. 990T. 4720. or 6069. enter any refundable Cred its and
estimated tax payments made. Include any prior year overpayment allowed as a Credit. 31) 0 -
Balance due. Subtract line 3b from line 3a. Include your payment with this form, if required,
by LE9 EI-TPS (Electronic Federal Tax Payment System). See instructions. 3c 0 -
Caution: If you are going to make an electronic funds withdrawal (direct debit) with this Form 8868. see Form 8453-E0 and Form 8879-E0 for payment
instructions.

LHA For Privacy Act and Paperwork Reduction Act NoticeI see instructions. Form 8868 (Rev. 1201?)

 

 

 

 

 

 

 

723341 04-01-1?

45