Form CHAR014
Fund Raising Counsel Registration Statement
New York State Department of Law (Office of the Attorney General)
Charities Bureau
The Capitol
Albany, NY 12224
http://www.CharitiesNYS.com
Open to Public
Inspection
Article 7-A of the Executive Law
(excluding pg. 5)
Part A - Identification of Fund Raising Counsel (FRC)
1. Full Legal Name of Fund Raising Counsel (per the Registrant’s organizing documents) 2. NYS Fund Raising Counsel ID# (if any)
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3. Mailing Address (Number and Street) Room/Suite 4. Primary Contact
City or Town, State or Country and ZIP + 4 5. Primary Contact Title
6. Main Address or Principal NYS Address (Number and Street) (if any or
different from item #3)
Room/Suite 7. Telephone Number 8. Fax Number
City or Town, State or Country and ZIP + 4 9. Email Address
10. Name of Third Party Representative (relating to this registration and other statutory filings) 11. Primary Contact for Third Party (include title)
Third Party Mailing Address (Number and Street) Room/Suite 12. Third Party Telephone # 13. Third Party Fax #
City or Town, State or Country and ZIP + 4 14. Third Party Email Address
15. List all other legally authorized names by which the Registrant is known (Submit a copy of all authorizing documents not previously filed.)
Part B - Certification - Registrant’s Signature Required
I, an authorized representative of the Registrant, certify under the penalties for perjury, that I have reviewed this Registration Statement, including all
schedules and attachments, and to the best of my knowledge and belief, they are true, correct and complete in accordance with the laws of the State of
New York applicable to this statement.
Signature Printed Name Title Date
Part C - Fee and Mailing
Statutory Fee Due:
$800
Submit a check or money order made payable to “NYS
Department of Law”.
Mail completed form with the required attachments and
fee to the address at the top of this page.
Part D - Activities
1. Does the Registrant or any representative of the Registrant solicit, as that term is defined in § 171-A of the Executive Law? . . . . . G Yes G No
2. Does the Registrant or any representative of the Registrant have access to contributions or other receipts from solicitations? . . . . G Yes G No
3. Does the Registrant or any representative of the Registrant have authority to pay expenses associated with a solicitation? . . . . . . G Yes G No
4. Does the Registrant or any representative of the Registrant employ any Professional Solicitors? . . . . . . . . . . . . . . . . . . . . . . . . . . G Yes G No
FOR OFFICE
USE ONLY
DATE RECEIVED FEE RECEIVED REGISTRATION FILING ID# FRC ID#
REVIEWER ACCEPT DATE START DATE END DATE
Page 1 of 5
Form CHAR014 (2014)
FRC Registrant
Part E - Organization Structure
1. Incorporation/formation (Submit a copy of all organizing documents and amendments not previously filed.)
a. Type of Registrant:
Corporation..................................... G
Limited liability company (LLC) . . . . . . . . . . . . . . . . . . . . . . G
Partnership..................................... G
Sole proprietorship ............................... G
Unincorporated association . . . . . . . . . . . . . . . . . . . . . . . . G
b. Date incorporated, if a corporation or formed, if other than a corporation
__ __ / __ __ / __ __ __ __
c. State/county in which incorporated or formed
2. List all officers/directors/key employees (for corporations); all managers/key employees (for LLCs); all partners/key employees (for partnerships);
or all owners/key employees (for sole proprietorships and unincorporated associations). (Include any additional information on a separate
attachment, using the same schedule format.)
Name Title
Mailing Address (number and street, room/suite, city
or town, state or country and zip+4)
Page 2 of 5
Form CHAR014 (2014)
Part F - Associations with Other Fund Raising Professionals and Charitable Organizations
1. Has the Registrant or any representative of the Registrant been associated at any time with any of the charitable organizations disclosed in
Part H in any manner other than pursuant to a contract disclosed in Part H or a contract previously filed with the New York State Attorney
General’s Charities Bureau? ..............................................................................G Yes* G No
*If “Yes,” complete the following schedule (Include any additional information on a separate attachment, using the same schedule format.)
Name
Mailing Address (number and street, room/suite, city or
town, state or country and ZIP + 4) Other Relationship to Charity
2. Has the Registrant or any representative of the Registrant been associated at any time with any other Professional Fund Raiser or Fund Raising
Counsel? ............................................................................................G Yes* G No
*If “Yes,” complete the following schedule (Include any additional information on a separate attachment, using the same schedule format.)
Name
Mailing Address (number and street, room/suite, city or
town, state or country and ZIP + 4) Position With Other PFR/FRC
Part G - Previous Conduct
1. In connection with any fund raising activity, has the Registrant or any representative of the Registrant ever had any license, registration or
permit denied, canceled, suspended or revoked, or has any official disciplinary or legal action ever been taken, or is one currently pending,
against the registrant or any representative of the Registrant? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G Yes* G No
*If “Yes,” describe below (include name and address of government agency, nature of outcome and date):
2. Has the Registrant or any representative of the Registrant ever entered into any agreement with any regulatory body regarding its conduct in
connection with any fund raising activity? ..................................................................... G Yes* G No
*If “Yes,” describe below (include name and address of government agency, nature of outcome and date):
3. Has the Registrant or any representative of the Registrant ever been convicted of or pleaded guilty to a felony or misdemeanor involving the
misappropriation or misuse of the money or property of another? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G Yes* G No
*If “Yes,” describe below (include name and address of government agency, nature of outcome and date):
Page 3 of 5
Form CHAR014 (2014)
Part H - Contracts
Provide the required information for each contract and subcontract entered into between the Registrant and any charitable organization or other entity
required to be registered if the services pursuant to such contract resulted, shall result or may result in the solicitation of persons in New York State, for,
by or on behalf of the respective charitable organization at any time during the past 12 months or at any time during the period related to this registration
filing. (Current contracts, contracts terminated or expired during the past 12 months and multiple contracts with the same charitable organization must
each be reported.) (Include any additional contract information on a separate attachment, using the same schedule format.) (Submit a copy of any
specified contract not previously filed.)
Name of Contracting Charity
Contracting Charity’s
NYS Registration # (ID#) Contract Period
Brief Description of the
Activities/Services Provided by
the Registrant
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Page 4 of 5
Form CHAR014 (2014)
Part I - Private Information - NOT OPEN TO PUBLIC INSPECTION
All types of Registrants must complete items 1 and 2 and, if required, item 3. Corporations, LLCs and Partnerships with no Federal Employer ID#
must complete item 4 for each officer/director/manager/partner. All Sole Proprietorships and Unincorporated Associations must complete item 4 for
each owner.
1. Registrant’s legal name as specified in Part A1
2. Registrant’s Federal Employer Identification Number
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3. Explanation required if no Federal Employer ID Number provided
4. Officer/Director/Manager/Partner/Owner Social Security Number Explanation required if no social security # provided
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PRIVACY NOTIFICATION
The New York State Office of the Attorney General’s Charities Bureau is required to collect the federal social security and employer identification
numbers of all registrants. The authority to request and maintain such personal information is found in §5 of the New York Tax Law. Disclosure
by the registrant is mandatory. The information is collected to enable the New York State Department of Taxation and Finance to identify
individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify
persons affected by the taxes administered by the Commissioner of Taxation and Finance. It will be used for tax administration purposes and any
other purpose authorized by the Tax Law, but will not be available to the public. A written explanation is required where no numbers are provided.
This information will be maintained by the Attorney General’s Charities Bureau at the address at the top of Page 1 of this form.
Page 5 of 5
Form CHAR014 (2014)
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Instructions for Form CHAR014/FRCSummary (2014)
New York State Department of Law (Office of the Attorney General)
Charities Bureau
Instructions for Form CHAR014 (Fund Raising Counsel Registration Statement)
and Summary of Registration and Filing Requirements for
Fund Raising Counsel
Article 7-A of the Executive Law & NYCRR Title 13, Chapter V, Parts 90 - 99
http://www.CharitiesNYS.com
Important Notice: These Instructions and Summary are intended to provide assistance in completing Form
CHAR014. Also included is information on many of the registration and filing requirements for
Fund Raising Counsel. For additional information on registration and filing requirements
pursuant to the Executive Law, registrants and potential registrants are encouraged to
familiarize themselves with §171-a through §177 of Article 7-A of the Executive Law and
NYCRR Title 13, Chapter V, Parts 90 - 99.
I. General Instructions in Completing Form CHAR014
A. Type or print in ink the responses to all items on pages 1 - 5 of Form CHAR014. Enter "NA" for any item that is not applicable.
B. In all instances, the “Registrant" or “FRC Registrant” shall mean the applicant Fund Raising Counsel named in Part A1.
C. In all instances a "representative of the Registrant" or an “authorized representative of the Registrant” shall mean an owner,
partner, director, officer, manager or key employee of the Registrant.
D. In all instances, a “Third Party Representative” shall be the attorney, accountant or other individual acting on behalf of the
Registrant. If a Third Party Representative is named, all communications from the Attorney General’s Charities Bureau will be
directed to the Third Party Representative.
E. Provide the required Federal ID Number and Social Security numbers only in Part I, page 5. (This page is not open to public
inspection.) DO NOT disclose these numbers or other personal information such as birth dates, driver’s license numbers, etc.,
elsewhere on Form CHAR014 or on any attachment to that Form as such pages are open to public inspection.
II. Registrant Certification
An authorized representative of the Registrant must certify, under penalties for perjury, all statements made in Form CHAR014.
The signature on Form CHAR014, Part B must be original and must be accompanied by the signatory’s printed name, title and the
date signed.
III. Required Fund Raising Counsel Registration Filing Documents
• Form CHAR014 (with appropriate attachments)
• $800 mandatory annual registration fee
• Copies of all current contracts with charitable organizations required to be registered under the statute that were not previously
filed
• Copies of all organizing documents, amendments to organizing documents, certificates of assumed name and “doing business
as” (d/b/a) certificates that were not previously filed
IV. Payment
All fees should be submitted in a single check or money order, payable to “New York State Department of Law”.
V. Registration Period
A Fund Raising Counsel’s registration expires one year from the date of registration or re-registration. If continuing to act as a Fund
Raising Counsel, the Registrant must submit the required re-registration documents each year prior to registration expiration.
VI. Changes to Registration
The Registrant must notify the Charities Bureau in writing, certified under penalties for perjury, within 20 days of any material change
to the information provided on Form CHAR014.
VII. Mailing Instructions
All registration documents and payment should be mailed to the following address:
New York State Department of Law (Office of the Attorney General)
Charities Bureau
The Capitol
Albany, NY 12224
VIII.
Additional Charities Bureau Contact Information
Telephone: (518) 776-2160
E-mail: Charities.Fundraising@ag.ny.gov
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Instructions for Form CHAR014/FRCSummary (2014)
IX. Fund Raising Counsel (FRC) - See §§171-a, Executive Law
Any person who for compensation consults with a charitable organization or who plans, manages, advises or assists with respect
to the solicitation in this state of contributions for or on behalf of a charitable organization, but who does not have access to
contributions or other receipts from a solicitation or authority to pay expenses associated with a solicitation and who does not solicit.
A bona fide officer, volunteer, or employee of a charitable organization or an attorney at law retained by a charitable organization,
shall not be deemed a FRC.
X. Contracts - See §§172-d, 173-a, 174, 174-a, Executive Law
! No person shall enter into any contract or agreement with or otherwise employ or engage a Fund Raising Counsel (FRC) required
to be registered under NYS Executive Law unless such FRC has provided to such person a statement, signed under penalties for
perjury, that it is registered with the Attorney General's Charities Bureau and in compliance with all filing requirements of the
Executive Law.
! No person shall enter into any contract or agreement, employment or engagement to raise funds or conduct any fund raising
activities for any charitable organization required to be registered under NYS Executive Law §172 unless such charitable
organization is registered with the Attorney General’s Charities Bureau and in compliance with all filing requirements of the
Executive Law.
! No person shall act as a FRC before that FRC has a written contract with the charitable organization, or other person benefitting
from the services. A FRC must file with the Attorney General's Charities Bureau, within 10 days of its execution, a copy of each
contract entered into between the FRC and any charitable organization required to be registered under NYS Executive Law §172.
At the time of the filing, the FRC must certify, under penalties for perjury, that the contract being filed is a true and correct copy of
the original executed contract. For additional information, please refer to Form CHAR016A.
! Whenever a charitable organization contracts with a FRC, the organization has the right to cancel the contract without cost,
penalty, or liability for a period of 15 days following the date on which the contract is filed by the FRC with the Attorney General's
Charities Bureau, regardless of the execution date of the contract. In order to cancel during this period, the organization must mail
or hand deliver a notice of cancellation to the FRC and send a copy to the Attorney General's Charities Bureau. Such notice is
sufficient if it indicates that the charitable organization does not intend to be bound by the contract. For additional information,
please refer to Form CHAR016B.
! The failure of a FRC to discontinue solicitation or any other fund raising activity upon receipt of a notice of cancellation in
accordance with the provisions of Article 7-A of the Executive Law within fifteen days of the cancellation of the contract shall be
deemed to be a continuing fraud upon the people of New York State.
! Every contract between a charitable organization and a FRC must contain:
- the names, addresses and NYS Attorney General's Charities Bureau identification numbers of all parties to the contract;
- a specific beginning and ending date for the contract;
- a clear narrative description of the services to be performed by the FRC;
- a clear statement of the financial arrangement between the charitable organization and the FRC;
- signatures and dates of signature of all parties to the contract; and
- a statement of the charitable organization's statutory right to cancel the contract; the period during which the contract may be
canceled; the address to which the notice of cancellation must be sent and the address of the Attorney General’s Charities Bureau
to which a duplicate must be sent.
! No contract filing should include Federal ID numbers or Social Security numbers of the PFR/FRC or the charitable organization
or any representative of the PFR/FRC or charitable organization.
! No services shall be performed pursuant to any contract required to be filed by a FRC if, within fifteen days of filing, the Attorney
General's Charities Bureau notifies the FRC and the charitable organization of any deficiencies in the contract and/or in the
registration or filings of the FRC or the charitable organization.
XI. Solicitation Disclosures - See §174-b, Executive Law
Any solicitation by any means made by or on behalf of a registered charitable organization that is required to file financial reports
and that has actually filed all such reports must include a statement that upon request, a person may obtain from the charitable
organization or from the Attorney General's Charities Bureau, a copy of the last financial report filed by the charitable organization
with the Attorney General’s Charities Bureau. Such statement must specify the address of the charitable organization and
the address of the Attorney General's Charities Bureau (State of New York, Department of Law, Charities Bureau, 28 Liberty
Street, New York, NY 10005) to which such request should be addressed. In instances where the charitable organization
required to be registered has not been previously required to file an annual report with the Attorney General's Charities
Bureau, the solicitation must state the date when such report will be filed
XII. Books and Records - See §173, Executive Law
! A FRC must maintain accurate and current books and records of all activities conducted under any contract with a charitable
organization or other person benefitting from the services for a minimum of three years from the expiration date of such contract.
Such books and records must be available for inspection, examination and/or audit by charitable organization and/or the Attorney
General or any authorized representative at the address of the FRC.
! Within seven days of a request from a charitable organization with which it has contracted, a FRC must provide copies of all
related records to that charitable organization.
XIII. Charitable Organizations - See §§171-a, Executive Law
Any benevolent, philanthropic, patriotic, or eleemosynary person or one purporting to be such or law enforcement support
organization as defined below.
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Instructions for Form CHAR014/FRCSummary (2014)
XIV. Law Enforcement Support Organization - See §§171-a, Executive Law
Any organization, association, union or conference of or purporting to be of current or former law enforcement officers, including,
without limitation, peace officers and police officers as defined in subdivisions thirty-three and thirty-four of section 1.20 of the
criminal procedure law, sheriffs, deputy sheriffs, detectives, investigators or constables or any auxiliary or affiliate of such an
organization, association, union or conference composed of one or more such organizations.
XV. Person - See §§171-a, Executive Law
Any individual, organization, group, association, partnership, corporation, or any combination of them.
XVI. Contribution - See §§171-a, Executive Law
The promise or grant of any money or property of any kind or value, whether or not in combination with the sale of goods, services,
entertainment or any other thing of value, including a grant or other financial assistance from any agency of government, except
payments by members of any organization for membership, for services or other benefit, other than the right to vote for directors
or trustees, elect officers, or hold offices.
XVII. Solicit - See §§171-a, Executive Law
To directly or indirectly make a request for a contribution, whether express or implied through any medium. A “solicitation” shall
be deemed to have taken place whether or not a contribution is made. For purposes of this article, a “solicitation” or a “solicitation
of contributions” includes any advertising which represents that the purchase or use of goods, services, entertainment or any other
thing of value will benefit a charitable organization. Provided, however, that the printing and the mailing of a written solicitation for
funds or any other thing of value to benefit a charitable organization shall not alone constitute soliciting on the part of persons who
printed and mailed such solicitation if such persons do not otherwise solicit, receive or have access to contributions.
