SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001
401k plan membership statisitcs for GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001
| Measure | Date | Value |
|---|
| 2020: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2020 401k membership |
|---|
| Market value of plan assets | 2020-07-20 | 32,634,010 |
| Acturial value of plan assets | 2020-07-20 | 32,634,010 |
| Funding target for retired participants and beneficiaries receiving payment | 2020-07-20 | 7,457,428 |
| Number of terminated vested participants | 2020-07-20 | 45 |
| Fundng target for terminated vested participants | 2020-07-20 | 5,767,492 |
| Active participant vested funding target | 2020-07-20 | 10,084,980 |
| Number of active participants | 2020-07-20 | 18 |
| Total funding liabilities for active participants | 2020-07-20 | 10,450,862 |
| Total participant count | 2020-07-20 | 96 |
| Total funding target for all participants | 2020-07-20 | 23,675,782 |
| Balance at beginning of prior year after applicable adjustments | 2020-07-20 | 19,398,170 |
| Carryover balanced portion elected for use to offset prior years funding requirement | 2020-07-20 | 343,716 |
| Amount remaining of carryover balance | 2020-07-20 | 19,054,454 |
| Present value of excess contributions | 2020-07-20 | 153,964 |
| Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance | 2020-07-20 | 169,191 |
| Balance of carryovers at beginning of current year | 2020-07-20 | 20,938,940 |
| Total employer contributions | 2020-07-20 | 2,200,000 |
| Contributions allocated toward minimum required contributions for current year adjusted to valuation date | 2020-07-20 | 2,117,759 |
| Minimum required contributions for current year target normal cost | 2020-07-20 | 376,614 |
| Total funding amount beforereflecting carryover/prefunding balances | 2020-07-20 | 376,614 |
| Carryover balance elected to use to offset funding requirement | 2020-07-20 | 173,342 |
| Additional cash requirement | 2020-07-20 | 203,272 |
| Contributions allocatedtoward minimum required contributions for current year | 2020-07-20 | 2,117,759 |
| 2019: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2019 401k membership |
|---|
| Total participants, beginning-of-year | 2019-08-01 | 96 |
| Total of all active and inactive participants | 2019-08-01 | 0 |
| Total participants | 2019-08-01 | 0 |
| Market value of plan assets | 2019-07-31 | 30,278,665 |
| Acturial value of plan assets | 2019-07-31 | 30,278,665 |
| Funding target for retired participants and beneficiaries receiving payment | 2019-07-31 | 7,688,761 |
| Number of terminated vested participants | 2019-07-31 | 47 |
| Fundng target for terminated vested participants | 2019-07-31 | 6,288,804 |
| Active participant vested funding target | 2019-07-31 | 9,555,356 |
| Number of active participants | 2019-07-31 | 35 |
| Total funding liabilities for active participants | 2019-07-31 | 10,071,527 |
| Total participant count | 2019-07-31 | 115 |
| Total funding target for all participants | 2019-07-31 | 24,049,092 |
| Balance at beginning of prior year after applicable adjustments | 2019-07-31 | 19,476,616 |
| Carryover balanced portion elected for use to offset prior years funding requirement | 2019-07-31 | 243,848 |
| Amount remaining of carryover balance | 2019-07-31 | 19,232,768 |
| Present value of excess contributions | 2019-07-31 | 1,125,470 |
| Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance | 2019-07-31 | 1,180,024 |
| Balance of carryovers at beginning of current year | 2019-07-31 | 19,398,170 |
| Total employer contributions | 2019-07-31 | 350,000 |
| Contributions allocated toward minimum required contributions for current year adjusted to valuation date | 2019-07-31 | 331,426 |
| Minimum required contributions for current year target normal cost | 2019-07-31 | 521,178 |
| Total funding amount beforereflecting carryover/prefunding balances | 2019-07-31 | 521,178 |
| Carryover balance elected to use to offset funding requirement | 2019-07-31 | 343,716 |
| Additional cash requirement | 2019-07-31 | 177,462 |
| Contributions allocatedtoward minimum required contributions for current year | 2019-07-31 | 331,426 |
| 2018: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2018 401k membership |
|---|
| Total participants, beginning-of-year | 2018-08-01 | 115 |
| Total number of active participants reported on line 7a of the Form 5500 | 2018-08-01 | 18 |
| Number of retired or separated participants receiving benefits | 2018-08-01 | 30 |
| Number of other retired or separated participants entitled to future benefits | 2018-08-01 | 45 |
| Total of all active and inactive participants | 2018-08-01 | 93 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2018-08-01 | 3 |
| Total participants | 2018-08-01 | 96 |
| Market value of plan assets | 2018-07-31 | 31,661,737 |
| Acturial value of plan assets | 2018-07-31 | 31,661,737 |
| Funding target for retired participants and beneficiaries receiving payment | 2018-07-31 | 9,624,045 |
| Number of terminated vested participants | 2018-07-31 | 47 |
| Fundng target for terminated vested participants | 2018-07-31 | 5,524,643 |
| Active participant vested funding target | 2018-07-31 | 8,211,077 |
| Number of active participants | 2018-07-31 | 38 |
| Total funding liabilities for active participants | 2018-07-31 | 8,995,654 |
| Total participant count | 2018-07-31 | 120 |
| Total funding target for all participants | 2018-07-31 | 24,144,342 |
| Balance at beginning of prior year after applicable adjustments | 2018-07-31 | 20,048,197 |
| Carryover balanced portion elected for use to offset prior years funding requirement | 2018-07-31 | 396,683 |
| Amount remaining of carryover balance | 2018-07-31 | 19,651,514 |
| Balance of carryovers at beginning of current year | 2018-07-31 | 19,476,616 |
| Total employer contributions | 2018-07-31 | 1,400,000 |
| Contributions allocated toward minimum required contributions for current year adjusted to valuation date | 2018-07-31 | 669,430 |
| Minimum required contributions for current year target normal cost | 2018-07-31 | 444,637 |
| Total funding amount beforereflecting carryover/prefunding balances | 2018-07-31 | 444,637 |
| Carryover balance elected to use to offset funding requirement | 2018-07-31 | 243,848 |
| Additional cash requirement | 2018-07-31 | 200,789 |
| Contributions allocatedtoward minimum required contributions for current year | 2018-07-31 | 669,430 |
| 2017: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2017 401k membership |
|---|
| Total participants, beginning-of-year | 2017-08-01 | 119 |
| Total number of active participants reported on line 7a of the Form 5500 | 2017-08-01 | 35 |
| Number of retired or separated participants receiving benefits | 2017-08-01 | 28 |
| Number of other retired or separated participants entitled to future benefits | 2017-08-01 | 47 |
| Total of all active and inactive participants | 2017-08-01 | 110 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2017-08-01 | 5 |
| Total participants | 2017-08-01 | 115 |
| Market value of plan assets | 2017-07-31 | 34,208,962 |
| Acturial value of plan assets | 2017-07-31 | 34,208,962 |
| Funding target for retired participants and beneficiaries receiving payment | 2017-07-31 | 7,783,003 |
| Number of terminated vested participants | 2017-07-31 | 53 |
| Fundng target for terminated vested participants | 2017-07-31 | 5,919,980 |
| Active participant vested funding target | 2017-07-31 | 8,440,224 |
| Number of active participants | 2017-07-31 | 43 |
| Total funding liabilities for active participants | 2017-07-31 | 9,469,669 |
| Total participant count | 2017-07-31 | 131 |
| Total funding target for all participants | 2017-07-31 | 23,172,652 |
| Balance at beginning of prior year after applicable adjustments | 2017-07-31 | 18,087,511 |
| Amount remaining of carryover balance | 2017-07-31 | 18,087,511 |
| Present value of excess contributions | 2017-07-31 | 237,775 |
| Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance | 2017-07-31 | 252,897 |
| Balance of carryovers at beginning of current year | 2017-07-31 | 20,048,197 |
| Total employer contributions | 2017-07-31 | 217,000 |
| Contributions allocated toward minimum required contributions for current year adjusted to valuation date | 2017-07-31 | 203,860 |
| Minimum required contributions for current year target normal cost | 2017-07-31 | 487,696 |
| Total funding amount beforereflecting carryover/prefunding balances | 2017-07-31 | 487,696 |
| Carryover balance elected to use to offset funding requirement | 2017-07-31 | 396,683 |
| Additional cash requirement | 2017-07-31 | 91,013 |
| Contributions allocatedtoward minimum required contributions for current year | 2017-07-31 | 203,860 |
| 2016: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2016 401k membership |
|---|
| Total participants, beginning-of-year | 2016-08-01 | 126 |
| Total number of active participants reported on line 7a of the Form 5500 | 2016-08-01 | 38 |
| Number of retired or separated participants receiving benefits | 2016-08-01 | 29 |
| Number of other retired or separated participants entitled to future benefits | 2016-08-01 | 48 |
| Total of all active and inactive participants | 2016-08-01 | 115 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2016-08-01 | 4 |
| Total participants | 2016-08-01 | 119 |
| 2015: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2015 401k membership |
|---|
| Total participants, beginning-of-year | 2015-08-01 | 127 |
| Total number of active participants reported on line 7a of the Form 5500 | 2015-08-01 | 43 |
| Number of retired or separated participants receiving benefits | 2015-08-01 | 31 |
| Number of other retired or separated participants entitled to future benefits | 2015-08-01 | 52 |
| Total of all active and inactive participants | 2015-08-01 | 126 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-08-01 | 4 |
| Total participants | 2015-08-01 | 130 |
| 2014: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2014 401k membership |
|---|
| Total participants, beginning-of-year | 2014-08-01 | 133 |
| Total number of active participants reported on line 7a of the Form 5500 | 2014-08-01 | 44 |
| Number of retired or separated participants receiving benefits | 2014-08-01 | 31 |
| Number of other retired or separated participants entitled to future benefits | 2014-08-01 | 52 |
| Total of all active and inactive participants | 2014-08-01 | 127 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-08-01 | 4 |
| Total participants | 2014-08-01 | 131 |
| 2012: GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2012 401k membership |
|---|
| Total participants, beginning-of-year | 2012-08-01 | 173 |
| Total number of active participants reported on line 7a of the Form 5500 | 2012-08-01 | 54 |
| Number of retired or separated participants receiving benefits | 2012-08-01 | 29 |
| Number of other retired or separated participants entitled to future benefits | 2012-08-01 | 69 |
| Total of all active and inactive participants | 2012-08-01 | 152 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-08-01 | 4 |
| Total participants | 2012-08-01 | 156 |
| Measure | Date | Value |
|---|
| 2020 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2020 401k financial data |
|---|
| Total plan liabilities at beginning of year | 2020-07-20 | $609,778 |
| Total income from all sources | 2020-07-20 | $1,664,078 |
| Expenses. Total of all expenses incurred | 2020-07-20 | $36,538,629 |
| Benefits paid (including direct rollovers) | 2020-07-20 | $24,423,545 |
| Total plan assets at end of year | 2020-07-20 | $0 |
| Total plan assets at beginning of year | 2020-07-20 | $35,484,329 |
| Value of fidelity bond covering the plan | 2020-07-20 | $1,000,000 |
| Expenses. Other expenses not covered elsewhere | 2020-07-20 | $149,230 |
| Other income received | 2020-07-20 | $1,664,078 |
| Net income (gross income less expenses) | 2020-07-20 | $-34,874,551 |
| Net plan assets at end of year (total assets less liabilities) | 2020-07-20 | $0 |
| Net plan assets at beginning of year (total assets less liabilities) | 2020-07-20 | $34,874,551 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2020-07-20 | $11,965,854 |
| 2019 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2019 401k financial data |
|---|
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-07-31 | $109,778 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-07-31 | $114,919 |
| Total income from all sources (including contributions) | 2019-07-31 | $3,243,184 |
| Total of all expenses incurred | 2019-07-31 | $925,902 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-07-31 | $799,054 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-07-31 | $350,000 |
| Value of total assets at end of year | 2019-07-31 | $32,749,329 |
| Value of total assets at beginning of year | 2019-07-31 | $30,437,188 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-07-31 | $126,848 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-07-31 | Yes |
| Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2019-07-31 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2019-07-31 | $13,365,624 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2019-07-31 | $13,309,529 |
| Was this plan covered by a fidelity bond | 2019-07-31 | Yes |
| Value of fidelity bond cover | 2019-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2019-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2019-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2019-07-31 | $7,654,648 |
| Assets. Other investments not covered elsewhere at beginning of year | 2019-07-31 | $2,446,797 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2019-07-31 | $195,240 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2019-07-31 | $1,144,716 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2019-07-31 | $109,778 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2019-07-31 | $114,919 |
| Other income not declared elsewhere | 2019-07-31 | $2,893,184 |
| Administrative expenses (other) incurred | 2019-07-31 | $126,848 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-07-31 | No |
| Value of net income/loss | 2019-07-31 | $2,317,282 |
| Value of net assets at end of year (total assets less liabilities) | 2019-07-31 | $32,639,551 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-07-31 | $30,322,269 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-07-31 | $3,828,640 |
| Value of interest in pooled separate accounts at end of year | 2019-07-31 | $0 |
| Asset value of US Government securities at end of year | 2019-07-31 | $6,430,112 |
| Asset value of US Government securities at beginning of year | 2019-07-31 | $4,703,937 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2019-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-07-31 | No |
| Contributions received in cash from employer | 2019-07-31 | $350,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-07-31 | $799,054 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2019-07-31 | No |
| Assets. Corporate common stocks other than exployer securities at end of year | 2019-07-31 | $5,103,705 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2019-07-31 | $5,003,569 |
| Did the plan have assets held for investment | 2019-07-31 | 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 | 2019-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2019-07-31 | Disclaimer |
| Accountancy firm name | 2019-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2019-07-31 | 366055558 |
| 2018 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2018 401k financial data |
|---|
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-07-31 | $114,919 |
| Total income from all sources (including contributions) | 2018-07-31 | $1,661,569 |
| Total of all expenses incurred | 2018-07-31 | $3,001,920 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-07-31 | $2,871,552 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-07-31 | $1,400,000 |
| Value of total assets at end of year | 2018-07-31 | $30,437,188 |
| Value of total assets at beginning of year | 2018-07-31 | $31,662,620 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-07-31 | $130,368 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2018-07-31 | $13,309,529 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2018-07-31 | $15,366,623 |
| Was this plan covered by a fidelity bond | 2018-07-31 | Yes |
| Value of fidelity bond cover | 2018-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2018-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2018-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2018-07-31 | $2,446,797 |
| Assets. Other investments not covered elsewhere at beginning of year | 2018-07-31 | $2,508,743 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2018-07-31 | $1,144,716 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2018-07-31 | $421,669 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2018-07-31 | $114,919 |
| Other income not declared elsewhere | 2018-07-31 | $261,569 |
| Administrative expenses (other) incurred | 2018-07-31 | $130,368 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-07-31 | No |
| Value of net income/loss | 2018-07-31 | $-1,340,351 |
| Value of net assets at end of year (total assets less liabilities) | 2018-07-31 | $30,322,269 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-07-31 | $31,662,620 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2018-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-07-31 | $3,828,640 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-07-31 | $3,751,997 |
| Value of interest in common/collective trusts at end of year | 2018-07-31 | $0 |
| Asset value of US Government securities at end of year | 2018-07-31 | $4,703,937 |
| Asset value of US Government securities at beginning of year | 2018-07-31 | $4,830,556 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2018-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-07-31 | No |
| Contributions received in cash from employer | 2018-07-31 | $1,400,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-07-31 | $2,871,552 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2018-07-31 | No |
| Assets. Corporate common stocks other than exployer securities at end of year | 2018-07-31 | $5,003,569 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2018-07-31 | $4,783,032 |
| Did the plan have assets held for investment | 2018-07-31 | 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 | 2018-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-07-31 | Disclaimer |
| Accountancy firm name | 2018-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2018-07-31 | 366055558 |
| 2017 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2017 401k financial data |
|---|
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-07-31 | $664,164 |
| Total income from all sources (including contributions) | 2017-07-31 | $-77,105 |
| Total of all expenses incurred | 2017-07-31 | $2,469,311 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-07-31 | $2,375,992 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-07-31 | $217,000 |
| Value of total assets at end of year | 2017-07-31 | $31,662,620 |
| Value of total assets at beginning of year | 2017-07-31 | $34,873,200 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-07-31 | $93,319 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2017-07-31 | $15,366,623 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2017-07-31 | $14,788,041 |
| Was this plan covered by a fidelity bond | 2017-07-31 | Yes |
| Value of fidelity bond cover | 2017-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2017-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2017-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2017-07-31 | $2,508,743 |
| Assets. Other investments not covered elsewhere at beginning of year | 2017-07-31 | $3,517,925 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2017-07-31 | $421,669 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2017-07-31 | $198,886 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2017-07-31 | $664,164 |
| Other income not declared elsewhere | 2017-07-31 | $-294,105 |
| Administrative expenses (other) incurred | 2017-07-31 | $93,319 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-07-31 | No |
| Value of net income/loss | 2017-07-31 | $-2,546,416 |
| Value of net assets at end of year (total assets less liabilities) | 2017-07-31 | $31,662,620 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-07-31 | $34,209,036 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-07-31 | $3,751,997 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-07-31 | $3,199,710 |
| Value of interest in common/collective trusts at end of year | 2017-07-31 | $0 |
| Asset value of US Government securities at end of year | 2017-07-31 | $4,830,556 |
| Asset value of US Government securities at beginning of year | 2017-07-31 | $9,320,390 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2017-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-07-31 | No |
| Contributions received in cash from employer | 2017-07-31 | $217,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-07-31 | $2,375,992 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2017-07-31 | No |
| Assets. Corporate common stocks other than exployer securities at end of year | 2017-07-31 | $4,783,032 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2017-07-31 | $3,848,248 |
| Did the plan have assets held for investment | 2017-07-31 | 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 | 2017-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-07-31 | Disclaimer |
| Accountancy firm name | 2017-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2017-07-31 | 366055558 |
| 2016 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2016 401k financial data |
|---|
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-07-31 | $664,164 |
| Total income from all sources (including contributions) | 2016-07-31 | $4,036,697 |
| Total of all expenses incurred | 2016-07-31 | $973,036 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-07-31 | $857,832 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-07-31 | $664,000 |
| Value of total assets at end of year | 2016-07-31 | $34,873,200 |
| Value of total assets at beginning of year | 2016-07-31 | $31,145,375 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-07-31 | $115,204 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2016-07-31 | $14,788,041 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2016-07-31 | $14,154,427 |
| Was this plan covered by a fidelity bond | 2016-07-31 | Yes |
| Value of fidelity bond cover | 2016-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2016-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2016-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2016-07-31 | $3,517,925 |
| Assets. Other investments not covered elsewhere at beginning of year | 2016-07-31 | $2,990,771 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2016-07-31 | $198,886 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2016-07-31 | $209,008 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2016-07-31 | $664,164 |
| Other income not declared elsewhere | 2016-07-31 | $3,372,697 |
| Administrative expenses (other) incurred | 2016-07-31 | $115,204 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-07-31 | No |
| Value of net income/loss | 2016-07-31 | $3,063,661 |
| Value of net assets at end of year (total assets less liabilities) | 2016-07-31 | $34,209,036 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-07-31 | $31,145,375 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-07-31 | $3,199,710 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-07-31 | $2,720,687 |
| Value of interest in common/collective trusts at end of year | 2016-07-31 | $0 |
| Asset value of US Government securities at end of year | 2016-07-31 | $9,320,390 |
| Asset value of US Government securities at beginning of year | 2016-07-31 | $6,121,673 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2016-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-07-31 | No |
| Contributions received in cash from employer | 2016-07-31 | $664,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-07-31 | $857,832 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2016-07-31 | $3,848,248 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2016-07-31 | $4,948,809 |
| Did the plan have assets held for investment | 2016-07-31 | 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 | 2016-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-07-31 | Disclaimer |
| Accountancy firm name | 2016-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2016-07-31 | 366055558 |
| 2015 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2015 401k financial data |
|---|
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-07-31 | $214,386 |
| Total income from all sources (including contributions) | 2015-07-31 | $1,575,580 |
| Total of all expenses incurred | 2015-07-31 | $2,188,188 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-07-31 | $2,080,547 |
| Value of total assets at end of year | 2015-07-31 | $31,145,375 |
| Value of total assets at beginning of year | 2015-07-31 | $31,972,369 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-07-31 | $107,641 |
| Total interest from all sources | 2015-07-31 | $1,575,580 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2015-07-31 | $14,154,427 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2015-07-31 | $14,728,474 |
| Was this plan covered by a fidelity bond | 2015-07-31 | Yes |
| Value of fidelity bond cover | 2015-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2015-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2015-07-31 | $2,777,215 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-07-31 | $1,477,806 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-07-31 | $209,008 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-07-31 | $288,912 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2015-07-31 | $214,386 |
| Administrative expenses (other) incurred | 2015-07-31 | $107,641 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-07-31 | No |
| Value of net income/loss | 2015-07-31 | $-612,608 |
| Value of net assets at end of year (total assets less liabilities) | 2015-07-31 | $31,145,375 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-07-31 | $31,757,983 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-07-31 | $2,720,687 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-07-31 | $4,467,287 |
| Interest earned on other investments | 2015-07-31 | $1,575,580 |
| Value of interest in common/collective trusts at end of year | 2015-07-31 | $213,556 |
| Value of interest in common/collective trusts at beginning of year | 2015-07-31 | $420,304 |
| Asset value of US Government securities at end of year | 2015-07-31 | $6,121,673 |
| Asset value of US Government securities at beginning of year | 2015-07-31 | $6,689,416 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2015-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-07-31 | $2,080,547 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2015-07-31 | $4,948,809 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2015-07-31 | $3,900,170 |
| Did the plan have assets held for investment | 2015-07-31 | 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 | 2015-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-07-31 | Disclaimer |
| Accountancy firm name | 2015-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2015-07-31 | 366055558 |
| 2014 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2014 401k financial data |
|---|
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-07-31 | $214,386 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-07-31 | $150,914 |
| Total income from all sources (including contributions) | 2014-07-31 | $3,759,389 |
| Total of all expenses incurred | 2014-07-31 | $2,772,883 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-07-31 | $2,688,508 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-07-31 | $859,000 |
| Value of total assets at end of year | 2014-07-31 | $31,972,369 |
| Value of total assets at beginning of year | 2014-07-31 | $30,922,391 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-07-31 | $84,375 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2014-07-31 | $14,728,474 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2014-07-31 | $12,327,185 |
| Was this plan covered by a fidelity bond | 2014-07-31 | Yes |
| Value of fidelity bond cover | 2014-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2014-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2014-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2014-07-31 | $1,477,806 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-07-31 | $1,176,083 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-07-31 | $288,912 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2014-07-31 | $327,982 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2014-07-31 | $214,386 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-07-31 | $150,914 |
| Other income not declared elsewhere | 2014-07-31 | $2,900,389 |
| Administrative expenses (other) incurred | 2014-07-31 | $84,375 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-07-31 | No |
| Value of net income/loss | 2014-07-31 | $986,506 |
| Value of net assets at end of year (total assets less liabilities) | 2014-07-31 | $31,757,983 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-07-31 | $30,771,477 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-07-31 | $4,467,287 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-07-31 | $5,962,784 |
| Value of interest in common/collective trusts at end of year | 2014-07-31 | $420,304 |
| Value of interest in common/collective trusts at beginning of year | 2014-07-31 | $1,046,688 |
| Asset value of US Government securities at end of year | 2014-07-31 | $6,689,416 |
| Asset value of US Government securities at beginning of year | 2014-07-31 | $6,771,958 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2014-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-07-31 | No |
| Contributions received in cash from employer | 2014-07-31 | $859,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-07-31 | $2,688,508 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2014-07-31 | $3,900,170 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2014-07-31 | $3,309,711 |
| Did the plan have assets held for investment | 2014-07-31 | 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 | 2014-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-07-31 | Disclaimer |
| Accountancy firm name | 2014-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2014-07-31 | 366055558 |
| 2013 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2013 401k financial data |
|---|
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-07-31 | $150,914 |
| Total income from all sources (including contributions) | 2013-07-31 | $2,710,996 |
| Total of all expenses incurred | 2013-07-31 | $4,596,753 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-07-31 | $4,507,339 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-07-31 | $2,889,000 |
| Value of total assets at end of year | 2013-07-31 | $30,922,391 |
| Value of total assets at beginning of year | 2013-07-31 | $32,657,234 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-07-31 | $89,414 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2013-07-31 | $12,327,185 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2013-07-31 | $11,899,203 |
| Was this plan covered by a fidelity bond | 2013-07-31 | Yes |
| Value of fidelity bond cover | 2013-07-31 | $1,000,000 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2013-07-31 | $1,176,083 |
| Assets. Other investments not covered elsewhere at beginning of year | 2013-07-31 | $1,531,984 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2013-07-31 | $327,982 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-07-31 | $160,207 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2013-07-31 | $150,914 |
| Other income not declared elsewhere | 2013-07-31 | $-178,004 |
| Administrative expenses (other) incurred | 2013-07-31 | $89,414 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-07-31 | No |
| Value of net income/loss | 2013-07-31 | $-1,885,757 |
| Value of net assets at end of year (total assets less liabilities) | 2013-07-31 | $30,771,477 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-07-31 | $32,657,234 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-07-31 | $5,962,784 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-07-31 | $7,702,717 |
| Value of interest in common/collective trusts at end of year | 2013-07-31 | $1,046,688 |
| Value of interest in common/collective trusts at beginning of year | 2013-07-31 | $447,801 |
| Asset value of US Government securities at end of year | 2013-07-31 | $6,771,958 |
| Asset value of US Government securities at beginning of year | 2013-07-31 | $7,260,493 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2013-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-07-31 | No |
| Contributions received in cash from employer | 2013-07-31 | $2,889,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-07-31 | $4,507,339 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2013-07-31 | $3,309,711 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2013-07-31 | $3,654,829 |
| Did the plan have assets held for investment | 2013-07-31 | 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 | 2013-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-07-31 | Disclaimer |
| Accountancy firm name | 2013-07-31 | GRANT THORNTON LLP |
| Accountancy firm EIN | 2013-07-31 | 366055558 |
| 2011 : GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2011 401k financial data |
|---|
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-07-31 | $109,981 |
| Total income from all sources (including contributions) | 2011-07-31 | $3,750,795 |
| Total of all expenses incurred | 2011-07-31 | $1,936,921 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-07-31 | $1,872,533 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-07-31 | $1,375,000 |
| Value of total assets at end of year | 2011-07-31 | $27,936,732 |
| Value of total assets at beginning of year | 2011-07-31 | $26,232,839 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-07-31 | $64,388 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-07-31 | No |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2011-07-31 | $7,624,060 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2011-07-31 | $4,959,822 |
| Was this plan covered by a fidelity bond | 2011-07-31 | Yes |
| Value of fidelity bond cover | 2011-07-31 | $1,000,000 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-07-31 | No |
| Assets. Other investments not covered elsewhere at end of year | 2011-07-31 | $1,256,050 |
| Assets. Other investments not covered elsewhere at beginning of year | 2011-07-31 | $1,220,767 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-07-31 | $156,843 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-07-31 | $126,268 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-07-31 | $109,981 |
| Other income not declared elsewhere | 2011-07-31 | $2,375,795 |
| Administrative expenses (other) incurred | 2011-07-31 | $64,388 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-07-31 | No |
| Value of net income/loss | 2011-07-31 | $1,813,874 |
| Value of net assets at end of year (total assets less liabilities) | 2011-07-31 | $27,936,732 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-07-31 | $26,122,858 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-07-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-07-31 | $8,749,890 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-07-31 | $9,289,831 |
| Value of interest in common/collective trusts at end of year | 2011-07-31 | $557,266 |
| Value of interest in common/collective trusts at beginning of year | 2011-07-31 | $665,958 |
| Asset value of US Government securities at end of year | 2011-07-31 | $7,138,657 |
| Asset value of US Government securities at beginning of year | 2011-07-31 | $7,111,641 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-07-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2011-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-07-31 | No |
| Contributions received in cash from employer | 2011-07-31 | $1,375,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-07-31 | $1,872,533 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2011-07-31 | $2,453,966 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-07-31 | $2,858,552 |
| Did the plan have assets held for investment | 2011-07-31 | 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 | 2011-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-07-31 | Disclaimer |
| Accountancy firm name | 2011-07-31 | KPMG, LLP |
| Accountancy firm EIN | 2011-07-31 | 135565207 |
