2021-05-17T00:35:12-05:00 2020-06-30 133628255 CONDON O'MEARA MCGINTY & DONNELLY LLP ONE BATTERY PARK PLAZA NEW YORK NY 10004 990 2019-07-01 132907878 CHARTERED MARKET TECHNICIANS ASSOCIATION INC CHAR 6466523300 115 BROADWAY FL 7 NEW YORK NY 10006 SCOTT RICHTER EXECUTIVE DIRECTOR AND CEO 6466523300 2021-05-12 1 JAMES J REILLY P00183769 2126617777 2019 2022-09-23 18:48:47Z X CMT ASSOCIATION ALVIN P KRESSLER III 115 BROADWAY FL 7 NEW YORK NY 10006 1715767 0 X WWW.CMTASSOCIATION.ORG X 1973 NY ATTRACT & RETAIN A MEMBERSHIP OF PROFESSIONALS DEVOTED TO THE FIELD OF TECHNICAL ANALYSIS. 15 14 7 250 0 0 0 0 2564325 1700222 14975 6985 51362 8560 2630662 1715767 106565 59921 0 0 1030525 1079753 0 0 0 1651589 1092853 2788679 2232527 -158017 -516760 1039864 933039 1093061 1502996 -53197 -569957 X SEE SCHEDULE O. 0 0 TAX EXEMPT ASSOCIATION ACTIVITIES. 0 0 0 1 0 0 1 0 0 1 0 0 0 1 0 1 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 19 0 1 7 1 0 1 IN 0 0 0 0 0 0 X 15 14 0 0 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 0 X ALVIN KRESSLER THE ASSOC 6466523300 115 BROADWAY FL 7 NEW YORK NY 10006 ALVIN KRESSLER EXECUTIVE DIRECTOR AND CEO 40.00 X X 241343 0 4172 STANLEY DASH DIRECTOR CMT PROGRAM 40.00 X 167183 0 5950 SCOTT RICHTER CMT PRESIDENT 3.00 X X 0 0 0 BRETT VILLAUME CMT CAIA VICE PRESIDENT 3.00 X X 0 0 0 GLEN MARTIN CMT TREASURER 3.00 X X 0 0 0 ROBERT PALLADINO CMT SECRETARY 3.00 X X 0 0 0 SALMA ABDULLA CFA CMT DIRECTOR 3.00 X 0 0 0 JAMES BRODIE CMT DIRECTOR 3.00 X 0 0 0 JAMIE COUTTS CMT CFTE DIRECTOR 3.00 X 0 0 0 AKSHAY CHINCHALKAR CMT DIRECTOR 3.00 X 0 0 0 STELLA OSOBA DIRECTOR 3.00 X 0 0 0 WILLIAM KELLEHER CMT DIRECTOR 3.00 X 0 0 0 DAVID LUNDGREN CMT DIRECTOR 3.00 X 0 0 0 SAIED MOKHTARI DIRECTOR 3.00 X 0 0 0 JOHN KOLOVOS CMT CFA DIRECTOR 3.00 X 0 0 0 CRAIG W JOHNSON CMT CFA PAST PRESIDENT 3.00 X 0 0 0 408526 0 10122 2 0 1 0 PROMETRIC 2975 WESTCHESTER AVE SUITE 112 PURCHASE NY 10577 TEST ADMINISTRATION 341195 TYLER WOOD 115 BROADWAY FL 7 NEW YORK NY 10006 BUSINESS DEVELOPMENT WORK 117200 2 MEMBERSHIP DUES 900099 904906 904906 ACCREDITATION FEES 900099 749351 749351 REGIONAL SEMINAR FEES 900099 45965 45965 1700222 6985 6985 8560 8560 1715767 1700222 0 15545 59921 424498 433535 10205 162492 49023 41154 57360 38462 99671 156039 146446 109749 69728 90270 7314 24128 ACCREDITATION FEES 202834 OTHER 29196 PROFESSIONAL MEMBERSHIP 12703 DONATIONS 7799 2232527 945535 846329 20605 56160 75610 53494 42394 17564 11100 1039864 933039 312367 203581 594545 1121841 186149 177574 1093061 1502996 X -53197 -569957 -53197 -569957 1039864 933039 -516760 0 X 0 1 X 1 0 1 0 0 X X 0 53494 42394 11100 11100 LINE OF CREDIT 177574 177574 1715767 0 1715767 0 1715767 2232527 0 2232527 0 2232527 PART III, LINE 4: THE COLLECTION IS HOUSED IN A SPECIAL COLLECTION AT THE NEWMAN LIBRARY AT BARUCH COLLEGE IN NEW YORK CITY. THROUGH THE PARTNERSHIP WITH BARUCH COLLEGE, THE TAEF IS ABLE TO MAKE THIS COLLECTION AVAILABLE TO A DIVERSE SET OF USERS. THE LOCATION MAKES THE COLLECTION EASILY ACCESSIBLE TO STUDENTS AND FACULTY AT BARUCH COLLEGE, WHICH GRADUATES MORE FINANCE MAJORS THAN ANY OTHER U.S. COLLEGE OR UNIVERSITY. RESEARCHERS, BOTH FACULTY AND STUDENTS, AT OTHER UNIVERSITIES CAN ACCESS THE MATERIALS THROUGH THEIR UNIVERSITY'S INTERLIBRARY LOAN PROGRAM. MEMBERS OF THE CMT ASSOCIATION MAY ARRANGE A VISIT TO THE LIBRARY OR CHECK OUT CIRCULATING ITEMS USING THEIR WEBSITE. INDIA 1 1 PROGRAM EXPENSES MEMBER ENGAGEMENT AND BUSINESS DEVELOPMENT WITHIN INDIA, NO SALES 59921 1 1 0 0 1 1 59921 0 59921 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X X X 0 0 0 ALVIN KRESSLER EXECUTIVE DIRECTOR AND CEO 202093 0 39250 0 0 0 4172 0 0 0 245515 0 0 0 STANLEY DASH DIRECTOR CMT PROGRAM 142183 0 25000 0 0 0 5950 0 0 0 173133 0 0 0 PART III - LINE 1 THE ASSOCIATION'S MISSION IS TO: - ATTRACT AND RETAIN A MEMBERSHIP OF PROFESSIONALS DEVOTING THEIR EFFORTS TO USING AND EXPANDING THE FIELD OF TECHNICAL ANALYSIS AND SHARING THEIR BODY OF KNOWLEDGE WITH THEIR FELLOW MEMBERS. - ESTABLISH, MAINTAIN, AND ENCOURAGE THE HIGHEST STANDARDS OF PROFESSIONAL COMPETENCE AND ETHICS AMONG TECHNICAL ANALYSTS. - EDUCATE THE PUBLIC AND INVESTMENT COMMUNITY OF THE VALUE AND UNIVERSALITY OF TECHNICAL ANALYSIS. FORM 990, PART VI, SECTION A, LINE 6 THE ASSOCIATION IS DERIVED FROM MEMBERSHIP, THERE ARE NO STOCKHOLDERS; WE HAVE APPROXIMATELY 4,200 MEMBERS AT THE ASSOCIATION WORLDWIDE. THE ASSOCIATION IS GOVERNED BY A 13-MEMBER BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7A THE BOARD OF DIRECTORS ARE MEMBERS, HONORARY MEMBERS, AND/OR EMERITUS MEMBERS OF THE ASSOCIATION IN GOOD STANDING AS DEFINED IN SECTION C4 OF THE CONSTITUTION. A) NOT LESS THAN THIRTY (30) DAYS BEFORE THE ANNUAL MEMBERSHIP MEETING, THE NOMINATING COMMITTEE SHALL ADVISE THE SECRETARY OF THE SLATE OF CANDIDATES. THE NOMINATING COMMITTEE SHALL PRESENT ONE NAME FOR EACH ELECTIVE OFFICE. B) NOMINATIONS MAY ALSO BE MADE BY PETITION SIGNED BY NOT FEWER THAN TEN (10) PERCENT OF THE MEMBERS, HONORARY MEMBERS AND/OR EMERITUS MEMBERS IN GOOD STANDING. AFFILIATES, ACADEMIC AFFILIATES AND STUDENT AFFILIATES ARE NOT ELIGIBLE TO SUBMIT NOMINATIONS. ANY SUCH PETITIONS MUST BE FILED WITH THE SECRETARY NOT LESS THAN THIRTY (30) DAYS BEFORE THE ANNUAL MEMBERSHIP MEETING. C} THE SECRETARY SHALL MAIL OR EMAIL A NOTICE OF ALL NOMINATIONS TO ALL MEMBERS, HONORARY MEMBERS AND EMERITUS MEMBERS IN GOOD STANDING NOT LESS THAN TWENTY-FIVE (25) DAYS BEFORE THE ANNUAL MEMBERSHIP MEETING. THE CANDIDATE FOR EACH OFFICE RECEIVING THE HIGHEST NUMBER OF VOTES SHALL BE ELECTED. IN THE EVENT OF A TIE, THE BOARD OF DIRECTORS EXISTING BEFORE THE ELECTION SHALL DECIDE THE VOTE BETWEEN THE CANDIDATES WHO ARE TIED. FORM 990, PART VI, SECTION A, LINE 7B AMENDMENTS TO THE CONSTITUTION MAY BE PROPOSED BY THE BOARD OF DIRECTORS OR BY PETITION TO THE BOARD AND SIGNED BY NOT FEWER THAN TEN PERCENT (10%) OF THE MEMBERS, HONORARY MEMBERS AND/OR EMERITUS MEMBERS IN GOOD STANDING OF THE ASSOCIATION. AMENDMENTS MAY ALSO BE INITIATED BY THE RULES COMMITTEE IN CONSULTATION WITH OFFICERS OF THE ASSOCIATION OR WITH THE CHAIRPERSONS OF STANDING COMMITTEES. PROPOSED AMENDMENTS SHALL BE REFERRED TO THE RULES COMMITTEE, WHICH SHALL SUBMIT RECOMMENDATIONS THEREON TO THE BOARD, AFTER CONSULTATION WITH LEGAL COUNSEL, IF DEEMED NECESSARY. IF THE BOARD FINDS THE AMENDMENT(S) IN ACCORD WITH THE OBJECTIVES OF THE ASSOCIATION AND OF THE LAWS UNDER WHICH THE ASSOCIATION IS ORGANIZED, THE AMENDMENT(S) SHALL BE PLACED ON THE AGENDA OF THE NEXT ANNUAL OR SPECIAL MEMBERSHIP MEETING, AND A COPY OF THE PROPOSED AMENDMENT(S) AND A LETTER BALLOT SHALL BE INCLUDED IN THE MEETING NOTICE MAILED TO EACH MEMBER. THE ADOPTION OF AN AMENDMENT SHALL REQUIRE THE AFFIRMATIVE VOTES OF NOT LESS THAN TWO-THIRDS (2/3) OF A MAJORITY OF THE MEMBERS VOTING, AND THE TOTAL VOTE SHALL NOT BE LESS THAN TEN (10) PERCENT OF THE TOTAL VOTING MEMBERS OF THE ASSOCIATION. THE ADOPTION OF AMENDMENTS SHALL BE ANNOUNCED IN A TIMELY MANNER IN AN APPROPRIATE PUBLICATION OF THE ASSOCIATION. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 WILL BE REVIEWED BY THE EXECUTIVE DIRECTOR PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C EACH YEAR IN JUNE, A CONFLICT OF INTEREST POLICY IS PROVIDED TO ALL OFFICERS, BOARD MEMBERS, VOLUNTEER COMMITTEE CHAIRS, VOLUNTEER COMMITTEE MEMBERS AND ALL EMPLOYEES FOR ACKNOWLEDGEMENT AND SIGNATURE, POLICIES ARE DISTRIBUTED, TRACKED, AND FILED. ANY EXCEPTIONS ARE THEN SENT TO THE "MTA ETHICS COMMITTEE" COMPRISED OF TWO BOARD MEMBERS, PHILLIP ERLANGER AND CARSON DAHLBERG FOR REVIEW. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE DIRECTOR COMPENSATION IS REVIEWED BY THE EXECUTIVE COMMITTEE AND THE BOARD OF DIRECTORS AFTER A PERSONNEL EVALUATION IS PERFORMED. COMPENSATION IS REVIEWED IN LIGHT OF PERFORMANCE AND COMPARABLE PAY OF SIMILAR NON-PROFIT ASSOCIATION'S EXECUTIVE DIRECTORS. THE EXECUTIVE DIRECTOR REVIEWS AND SETS ALL COMPENSATION OF OTHER EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 OUR GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND THE FINANCIAL STATEMENTS ARE LOCATED ON THE ASSOCIATION'S WEBSITE (WWW.CMTASSOCIATION.ORG) FOR OUR MEMBERS AND THE PUBLIC. AN ANNOUNCEMENT IS PLACED OF THE ORGANIZATION'S FINANCIAL CONDITION ON OUR "TECHNICALLY SPEAKING" NEWSLETTER FOR MEMBERS AND TO THE PUBLIC, ALL QUESTIONS ARE DIRECTED TO THE CONTROLLER.