401k Plan data: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN plan

SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 401k Plan overview

Plan Name	SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN
Plan identification number	002

SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION has sponsored the creation of one or more 401k plans.

Company Name: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION

Employer identification number (EIN): 320178959

NAIC Classification: 813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2018-10-11
002 2017-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2018-10-11
002 2016-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2017-10-04
002 2015-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2016-11-09
002 2015-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2016-10-17
002 2014-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2015-09-14
002 2013-01-01 DARRAH RAFFERTY DARRAH RAFFERTY 2014-10-13
002 2012-01-01 DARRAH RAFFERTY
002 2011-01-01 DARRAH RAFFERTY
002 2009-01-01 DAVID B KRASNER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01
002	2021-01-01
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2018-10-11
002	2017-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2018-10-11
002	2016-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2017-10-04
002	2015-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2016-11-09
002	2015-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2016-10-17
002	2014-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2015-09-14
002	2013-01-01	DARRAH RAFFERTY	DARRAH RAFFERTY	2014-10-13
002	2012-01-01	DARRAH RAFFERTY
002	2011-01-01	DARRAH RAFFERTY
002	2009-01-01	DAVID B KRASNER

Plan Statistics for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN

401k plan membership statisitcs for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN

Measure Date Value
2022: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 272
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 128
Number of retired or separated participants receiving benefits 2022-01-01 7
Number of other retired or separated participants entitled to future benefits 2022-01-01 150
Total of all active and inactive participants 2022-01-01 285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 285
Number of participants with account balances 2022-01-01 282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 14
2021: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 277
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 122
Number of retired or separated participants receiving benefits 2021-01-01 1
Number of other retired or separated participants entitled to future benefits 2021-01-01 150
Total of all active and inactive participants 2021-01-01 273
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 273
Number of participants with account balances 2021-01-01 269
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 11
2020: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 291
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 130
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 146
Total of all active and inactive participants 2020-01-01 277
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 277
Number of participants with account balances 2020-01-01 273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 2
2019: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 285
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 129
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 161
Total of all active and inactive participants 2019-01-01 291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 291
Number of participants with account balances 2019-01-01 287
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 10
2018: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 291
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 128
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 158
Total of all active and inactive participants 2018-01-01 286
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 286
Number of participants with account balances 2018-01-01 281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 12
2017: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 284
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 143
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 148
Total of all active and inactive participants 2017-01-01 291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 291
Number of participants with account balances 2017-01-01 287
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 10
2016: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 288
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 141
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 142
Total of all active and inactive participants 2016-01-01 283
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 283
Number of participants with account balances 2016-01-01 279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 17
2015: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 283
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 148
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 139
Total of all active and inactive participants 2015-01-01 287
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 287
Number of participants with account balances 2015-01-01 284
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 7
2014: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 278
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 146
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 133
Total of all active and inactive participants 2014-01-01 279
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 279
Number of participants with account balances 2014-01-01 274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 14
2013: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 304
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 142
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 138
Total of all active and inactive participants 2013-01-01 280
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 280
Number of participants with account balances 2013-01-01 275
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 18
2012: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 321
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 159
Number of other retired or separated participants entitled to future benefits 2012-01-01 152
Total of all active and inactive participants 2012-01-01 311
Total participants 2012-01-01 311
Number of participants with account balances 2012-01-01 300
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 20
2011: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 316
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 147
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 156
Total of all active and inactive participants 2011-01-01 304
Total participants 2011-01-01 304
Number of participants with account balances 2011-01-01 319
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 9
2009: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 192
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 197
Number of other retired or separated participants entitled to future benefits 2009-01-01 211
Total of all active and inactive participants 2009-01-01 408
Total participants 2009-01-01 408
Number of participants with account balances 2009-01-01 305
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2022: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	272
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	128
Number of retired or separated participants receiving benefits	2022-01-01	7
Number of other retired or separated participants entitled to future benefits	2022-01-01	150
Total of all active and inactive participants	2022-01-01	285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	285
Number of participants with account balances	2022-01-01	282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	14
2021: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	277
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	122
Number of retired or separated participants receiving benefits	2021-01-01	1
Number of other retired or separated participants entitled to future benefits	2021-01-01	150
Total of all active and inactive participants	2021-01-01	273
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	273
Number of participants with account balances	2021-01-01	269
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	11
2020: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	291
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	130
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	146
Total of all active and inactive participants	2020-01-01	277
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	277
Number of participants with account balances	2020-01-01	273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	2
2019: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	285
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	129
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	161
Total of all active and inactive participants	2019-01-01	291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	291
Number of participants with account balances	2019-01-01	287
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	10
2018: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	291
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	128
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	158
Total of all active and inactive participants	2018-01-01	286
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	286
Number of participants with account balances	2018-01-01	281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	12
2017: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	284
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	143
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	148
Total of all active and inactive participants	2017-01-01	291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	291
Number of participants with account balances	2017-01-01	287
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	10
2016: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	288
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	141
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	142
Total of all active and inactive participants	2016-01-01	283
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	283
Number of participants with account balances	2016-01-01	279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	17
2015: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	283
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	148
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	139
Total of all active and inactive participants	2015-01-01	287
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	287
Number of participants with account balances	2015-01-01	284
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	7
2014: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	278
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	146
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	133
Total of all active and inactive participants	2014-01-01	279
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	279
Number of participants with account balances	2014-01-01	274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	14
2013: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	304
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	142
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	138
Total of all active and inactive participants	2013-01-01	280
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	280
Number of participants with account balances	2013-01-01	275
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	18
2012: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	321
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	159
Number of other retired or separated participants entitled to future benefits	2012-01-01	152
Total of all active and inactive participants	2012-01-01	311
Total participants	2012-01-01	311
Number of participants with account balances	2012-01-01	300
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	20
2011: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	316
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	147
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	156
Total of all active and inactive participants	2011-01-01	304
Total participants	2011-01-01	304
Number of participants with account balances	2011-01-01	319
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	9
2009: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	192
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	197
Number of other retired or separated participants entitled to future benefits	2009-01-01	211
Total of all active and inactive participants	2009-01-01	408
Total participants	2009-01-01	408
Number of participants with account balances	2009-01-01	305
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN

Measure	Date	Value
2022 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-13,801,714
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$4,684,878
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$4,617,698
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$4,102,063
Value of total assets at end of year	2022-12-31	$76,966,073
Value of total assets at beginning of year	2022-12-31	$95,452,665
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$67,180
Total interest from all sources	2022-12-31	$11,146
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$4,556,757
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$4,556,757
Administrative expenses professional fees incurred	2022-12-31	$65,850
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,827,861
Participant contributions at end of year	2022-12-31	$177,730
Participant contributions at beginning of year	2022-12-31	$167,942
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$66,833
Other income not declared elsewhere	2022-12-31	$101,342
Administrative expenses (other) incurred	2022-12-31	$1,330
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-18,486,592
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$76,966,073
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$95,452,665
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$70,294,983
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$90,114,661
Interest on participant loans	2022-12-31	$11,146
Value of interest in common/collective trusts at end of year	2022-12-31	$6,493,360
Value of interest in common/collective trusts at beginning of year	2022-12-31	$5,170,062
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-22,667,242
Net investment gain or loss from common/collective trusts	2022-12-31	$94,220
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$2,207,369
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$4,617,698
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2022-12-31	366055558
2021 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$15,674,516
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$2,678,421
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$2,625,546
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$4,264,377
Value of total assets at end of year	2021-12-31	$95,452,665
Value of total assets at beginning of year	2021-12-31	$82,456,570
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$52,875
Total interest from all sources	2021-12-31	$12,276
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$6,544,922
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$6,544,922
Administrative expenses professional fees incurred	2021-12-31	$51,995
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2021-12-31	$0
Minimum employer required contribution for this plan year	2021-12-31	$2,448,341
Amount contributed by the employer to the plan for this plan year	2021-12-31	$2,448,341
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$1,785,799
Participant contributions at end of year	2021-12-31	$167,942
Participant contributions at beginning of year	2021-12-31	$215,192
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$30,237
Other income not declared elsewhere	2021-12-31	$99,805
Administrative expenses (other) incurred	2021-12-31	$880
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$12,996,095
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$95,452,665
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$82,456,570
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$90,114,661
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$78,980,960
Interest on participant loans	2021-12-31	$12,276
Value of interest in common/collective trusts at end of year	2021-12-31	$5,170,062
Value of interest in common/collective trusts at beginning of year	2021-12-31	$3,260,418
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$4,688,723
Net investment gain or loss from common/collective trusts	2021-12-31	$64,413
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$2,448,341
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$2,625,546
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2021-12-31	366055558
2020 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$18,932,792
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$5,566,483
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$5,488,730
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$5,790,337
Value of total assets at end of year	2020-12-31	$82,456,570
Value of total assets at beginning of year	2020-12-31	$69,090,261
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$77,753
Total interest from all sources	2020-12-31	$13,697
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$3,364,848
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$3,364,848
Administrative expenses professional fees incurred	2020-12-31	$76,800
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2020-12-31	$0
Minimum employer required contribution for this plan year	2020-12-31	$2,314,360
Amount contributed by the employer to the plan for this plan year	2020-12-31	$2,314,360
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,725,799
Participant contributions at end of year	2020-12-31	$215,192
Participant contributions at beginning of year	2020-12-31	$229,426
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$1,750,178
Other income not declared elsewhere	2020-12-31	$70,019
Administrative expenses (other) incurred	2020-12-31	$953
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$13,366,309
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$82,456,570
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$69,090,261
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$78,980,960
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$64,017,138
Interest on participant loans	2020-12-31	$13,697
Value of interest in common/collective trusts at end of year	2020-12-31	$3,260,418
Value of interest in common/collective trusts at beginning of year	2020-12-31	$4,843,697
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$9,621,403
Net investment gain or loss from common/collective trusts	2020-12-31	$72,488
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$2,314,360
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$5,488,730
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2020-12-31	366055558
2019 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$17,253,443
Total income from all sources (including contributions)	2019-12-31	$17,253,443
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$4,123,781
Total of all expenses incurred	2019-12-31	$4,123,781
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$4,061,975
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$4,061,975
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$3,840,136
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$3,840,136
Value of total assets at end of year	2019-12-31	$69,090,261
Value of total assets at end of year	2019-12-31	$69,090,261
Value of total assets at beginning of year	2019-12-31	$55,960,599
Value of total assets at beginning of year	2019-12-31	$55,960,599
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$61,806
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$61,806
Total interest from all sources	2019-12-31	$14,937
Total interest from all sources	2019-12-31	$14,937
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$2,749,640
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$2,749,640
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$2,749,640
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$2,749,640
Administrative expenses professional fees incurred	2019-12-31	$61,076
Administrative expenses professional fees incurred	2019-12-31	$61,076
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2019-12-31	$0
Minimum employer required contribution for this plan year	2019-12-31	$2,116,004
Amount contributed by the employer to the plan for this plan year	2019-12-31	$2,116,004
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,625,488
Contributions received from participants	2019-12-31	$1,625,488
Participant contributions at end of year	2019-12-31	$229,426
Participant contributions at end of year	2019-12-31	$229,426
Participant contributions at beginning of year	2019-12-31	$264,686
Participant contributions at beginning of year	2019-12-31	$264,686
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$98,644
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$98,644
Other income not declared elsewhere	2019-12-31	$90,841
Other income not declared elsewhere	2019-12-31	$90,841
Administrative expenses (other) incurred	2019-12-31	$730
Administrative expenses (other) incurred	2019-12-31	$730
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$13,129,662
Value of net income/loss	2019-12-31	$13,129,662
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$69,090,261
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$69,090,261
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$55,960,599
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$55,960,599
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$64,017,138
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$64,017,138
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$51,571,046
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$51,571,046
Interest on participant loans	2019-12-31	$14,937
Interest on participant loans	2019-12-31	$14,937
Value of interest in common/collective trusts at end of year	2019-12-31	$4,843,697
Value of interest in common/collective trusts at end of year	2019-12-31	$4,843,697
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,124,867
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,124,867
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$10,466,554
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$10,466,554
Net investment gain or loss from common/collective trusts	2019-12-31	$91,335
Net investment gain or loss from common/collective trusts	2019-12-31	$91,335
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$2,116,004
Contributions received in cash from employer	2019-12-31	$2,116,004
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$4,061,975
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$4,061,975
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	GRANT THORNTON LLP
Accountancy firm name	2019-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2019-12-31	366055558
Accountancy firm EIN	2019-12-31	366055558
2018 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$639,784
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$3,970,055
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,908,520
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$3,773,122
Value of total assets at end of year	2018-12-31	$55,960,599
Value of total assets at beginning of year	2018-12-31	$59,290,870
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$61,535
Total interest from all sources	2018-12-31	$15,943
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$3,667,517
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$3,667,517
Administrative expenses professional fees incurred	2018-12-31	$60,705
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2018-12-31	$0
Minimum employer required contribution for this plan year	2018-12-31	$2,122,475
Amount contributed by the employer to the plan for this plan year	2018-12-31	$2,122,475
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,606,905
Participant contributions at end of year	2018-12-31	$264,686
Participant contributions at beginning of year	2018-12-31	$286,139
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$200
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$43,742
Other income not declared elsewhere	2018-12-31	$81,259
Administrative expenses (other) incurred	2018-12-31	$830
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-3,330,271
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$55,960,599
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$59,290,870
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$51,571,046
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$55,664,527
Interest on participant loans	2018-12-31	$15,943
Value of interest in common/collective trusts at end of year	2018-12-31	$4,124,867
Value of interest in common/collective trusts at beginning of year	2018-12-31	$3,340,004
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-6,972,361
Net investment gain or loss from common/collective trusts	2018-12-31	$74,304
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$2,122,475
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,908,520
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2018-12-31	366055558
2017 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$14,180,481
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$3,799,677
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$3,738,220
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$3,879,252
Value of total assets at end of year	2017-12-31	$59,290,870
Value of total assets at beginning of year	2017-12-31	$48,910,066
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$61,457
Total interest from all sources	2017-12-31	$15,636
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$2,384,247
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$2,384,247
Administrative expenses professional fees incurred	2017-12-31	$60,689
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2017-12-31	$0
Minimum employer required contribution for this plan year	2017-12-31	$2,247,416
Amount contributed by the employer to the plan for this plan year	2017-12-31	$2,247,416
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,593,539
Participant contributions at end of year	2017-12-31	$286,139
Participant contributions at beginning of year	2017-12-31	$357,094
Participant contributions at end of year	2017-12-31	$200
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$38,297
Other income not declared elsewhere	2017-12-31	$60,726
Administrative expenses (other) incurred	2017-12-31	$768
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$10,380,804
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$59,290,870
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$48,910,066
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$55,664,527
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$45,206,051
Interest on participant loans	2017-12-31	$15,636
Value of interest in common/collective trusts at end of year	2017-12-31	$3,340,004
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,346,921
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$7,785,335
Net investment gain or loss from common/collective trusts	2017-12-31	$55,285
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$2,247,416
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$3,738,220
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2017-12-31	366055558
2016 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$7,225,874
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,684,811
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,642,937
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,945,175
Value of total assets at end of year	2016-12-31	$48,910,066
Value of total assets at beginning of year	2016-12-31	$43,369,003
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$41,874
Total interest from all sources	2016-12-31	$19,269
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,534,929
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,534,929
Administrative expenses professional fees incurred	2016-12-31	$41,224
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2016-12-31	$0
Minimum employer required contribution for this plan year	2016-12-31	$2,320,474
Amount contributed by the employer to the plan for this plan year	2016-12-31	$2,320,474
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,584,159
Participant contributions at end of year	2016-12-31	$357,094
Participant contributions at beginning of year	2016-12-31	$372,823
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$40,542
Other income not declared elsewhere	2016-12-31	$43,864
Administrative expenses (other) incurred	2016-12-31	$650
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$5,541,063
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$48,910,066
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$43,369,003
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$45,206,051
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$42,996,180
Interest on participant loans	2016-12-31	$19,269
Value of interest in common/collective trusts at end of year	2016-12-31	$3,346,921
Value of interest in common/collective trusts at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,647,051
Net investment gain or loss from common/collective trusts	2016-12-31	$35,586
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$2,320,474
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,642,937
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2016-12-31	366055558
2015 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$4,050,573
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,983,416
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,948,016
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$3,595,306
Value of total assets at end of year	2015-12-31	$43,369,003
Value of total assets at beginning of year	2015-12-31	$41,301,846
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$35,400
Total interest from all sources	2015-12-31	$17,450
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$2,250,021
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$2,250,021
Administrative expenses professional fees incurred	2015-12-31	$35,000
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2015-12-31	$0
Minimum employer required contribution for this plan year	2015-12-31	$1,983,613
Amount contributed by the employer to the plan for this plan year	2015-12-31	$1,983,613
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,570,181
Participant contributions at end of year	2015-12-31	$372,823
Participant contributions at beginning of year	2015-12-31	$324,869
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$41,512
Other income not declared elsewhere	2015-12-31	$24,513
Administrative expenses (other) incurred	2015-12-31	$400
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$2,067,157
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$43,369,003
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$41,301,846
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$42,996,180
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$40,976,977
Interest on participant loans	2015-12-31	$17,450
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,836,717
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,983,613
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,948,016
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2015-12-31	366055558
2014 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$6,009,633
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,158,167
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,137,567
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$3,462,885
Value of total assets at end of year	2014-12-31	$41,301,846
Value of total assets at beginning of year	2014-12-31	$37,450,380
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$20,600
Total interest from all sources	2014-12-31	$14,037
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,957,832
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,957,832
Administrative expenses professional fees incurred	2014-12-31	$20,000
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$1,899,914
Amount contributed by the employer to the plan for this plan year	2014-12-31	$1,899,914
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,475,475
Participant contributions at end of year	2014-12-31	$324,869
Participant contributions at beginning of year	2014-12-31	$254,464
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$87,496
Other income not declared elsewhere	2014-12-31	$33,575
Administrative expenses (other) incurred	2014-12-31	$600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$3,851,466
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$41,301,846
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$37,450,380
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$40,976,977
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$37,195,916
Interest on participant loans	2014-12-31	$14,037
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$541,304
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,899,914
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,137,567
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2014-12-31	366055558
2013 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$10,859,696
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$5,976,343
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$5,953,128
Value of total corrective distributions	2013-12-31	$2,615
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$3,554,197
Value of total assets at end of year	2013-12-31	$37,450,380
Value of total assets at beginning of year	2013-12-31	$32,567,027
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$20,600
Total interest from all sources	2013-12-31	$13,731
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,054,289
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$1,054,289
Administrative expenses professional fees incurred	2013-12-31	$20,000
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$1,693,158
Amount contributed by the employer to the plan for this plan year	2013-12-31	$1,693,158
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,449,577
Participant contributions at end of year	2013-12-31	$254,464
Participant contributions at beginning of year	2013-12-31	$320,345
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$456,518
Other income not declared elsewhere	2013-12-31	$45,056
Administrative expenses (other) incurred	2013-12-31	$600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$4,883,353
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$37,450,380
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$32,567,027
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$37,195,916
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$32,246,682
Interest on participant loans	2013-12-31	$13,731
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$6,192,423
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$1,648,102
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$5,953,128
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2013-12-31	366055558
2012 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$7,106,387
Total of all expenses incurred	2012-12-31	$3,050,807
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,050,457
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$3,071,645
Value of total assets at end of year	2012-12-31	$32,567,027
Value of total assets at beginning of year	2012-12-31	$28,511,447
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$350
Total interest from all sources	2012-12-31	$17,120
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$786,065
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$786,065
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,431,343
Participant contributions at end of year	2012-12-31	$320,345
Participant contributions at beginning of year	2012-12-31	$315,525
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$31,026
Administrative expenses (other) incurred	2012-12-31	$350
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$4,055,580
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$32,567,027
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$28,511,447
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$32,246,682
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$28,147,594
Interest on participant loans	2012-12-31	$17,120
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,231,557
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,609,276
Employer contributions (assets) at beginning of year	2012-12-31	$48,328
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,050,457
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2012-12-31	366055558
2011 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$2,241,968
Total of all expenses incurred	2011-12-31	$3,859,152
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$3,859,152
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,841,906
Value of total assets at end of year	2011-12-31	$28,511,447
Value of total assets at beginning of year	2011-12-31	$30,128,631
Total interest from all sources	2011-12-31	$18,746
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$737,281
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$737,281
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,331,282
Participant contributions at end of year	2011-12-31	$315,525
Participant contributions at beginning of year	2011-12-31	$381,831
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$16,303
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-1,617,184
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$28,511,447
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$30,128,631
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$28,147,594
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$29,746,800
Interest on participant loans	2011-12-31	$18,746
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,355,965
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$1,494,321
Employer contributions (assets) at end of year	2011-12-31	$48,328
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$3,859,152
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	KPMG, LLP
Accountancy firm EIN	2011-12-31	135563207
2010 : SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$6,314,224
Total of all expenses incurred	2010-12-31	$4,293,915
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,293,915
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,433,588
Value of total assets at end of year	2010-12-31	$30,128,631
Value of total assets at beginning of year	2010-12-31	$28,108,322
Total interest from all sources	2010-12-31	$17,737
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$475,279
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$475,279
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,342,803
Participant contributions at end of year	2010-12-31	$381,831
Participant contributions at beginning of year	2010-12-31	$106,553
Participant contributions at beginning of year	2010-12-31	$28,643
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$15,020,696
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,020,309
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$30,128,631
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$28,108,322
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$29,746,800
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$12,928,828
Income. Interest from loans (other than to participants)	2010-12-31	$17,737
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,387,620
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$1,090,785
Employer contributions (assets) at beginning of year	2010-12-31	$23,602
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,293,915
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	KPMG LLP
Accountancy firm EIN	2010-12-31	135565207

Form 5500 Responses for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN

2022: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Employer identification number (EIN):	320178959
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations