Services Provided

As our flowchart demonstrates, our experienced compliance specialists manage the entire registration process so our clients can stay focused on fulfilling their mission. We track state filing requirements and deadlines; obtain client contact, financial, and other information, secure proper documentation, and follow-up with state authorities until a license has been issued. We also track and notify clients of upcoming renewal deadlines, process annual registration renewal applications, and alert our clients to any changes in registration requirements throughout the year. We also review fundraising contracts to ensure compliance with state required provisions and disclaimers.

Further, we help determine whether our clients qualify for a registration exemption, which some states allow for religious organizations, educational institutions, hospitals, and certain other entities. In addition, we will make arrangements, where required by law, for registered agents to receive service of legal documents in that specific state. 

Our Fundraising Registration & Compliance Services include:

• Preparation, filing, and administration of all required registration statements and related documents.
• Assessment to determine if a client qualifies for exemption from registration.
• Reviewing contracts and financial statements to ensure compliance with state requirements.
• Conducting requisite follow-up with state authorities until a license is issued.
• Notifying clients of upcoming renewal deadlines.
• Providing clients with up-to-date registration status reports.
• Updating state agencies on client organizational changes and contract expirations.
• Notifying clients of nonprofit fundraising registration and compliance regulatory changes.
• Making arrangements to obtain registered agents and necessary surety bonds in applicable states.
• Negotiation, mediation and, when necessary, litigation with state attorneys general and other officials on matters involving nonprofit solicitation activities.

Please contact Cynthia Mercado, Director, Compliance Department for fee estimates.