Title 9 . Law

Chapter 12 . Executive Branch Code of Ethics

Section 20. Paid solicitors: annual registration statement

9 AAC 12.020. Paid solicitors: annual registration statement

A paid solicitor shall submit a registration statement to the department on the following form:

Return to: Fair Business Practices Section Alaska Department of Law

PAID SOLICITOR FOR CHARITABLE ORGANIZATION

ANNUAL REGISTRATION STATEMENT

This form must be filed on or before September 1 as required by AS 45.68.010 . A paid solicitor shall attach a surety bond if less than 60 percent of the gross amount raised goes to a charitable organization under the terms of the contract required by AS 45.68.020 between the paid solicitor and the charitable organization. All paid solicitors shall provide contract information or enclosed a copy of each contract with the registration form. 1. Name ______________________________________________________________________ 2. Mailing address _____________________________________________________________________________ _____________________________________________________________________________ 3. Street address (if different) _____________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ 4. Daytime phone ( ) ____- _____________ 5. Is the charitable organization a corporation? Yes ( ) No ( ) Year incorporated: ____________ State (or country) of incorporation: ________________________________________ 6. LIST THE OWNERS AND PRINCIPAL OFFICERS OF THE PAID SOLICITOR: Name ____________________________ phone _____________________________________ Address ____________________________ title __________________________________ Name ____________________________ phone _____________________________________ Address ____________________________ title __________________________________ Name ____________________________ phone _____________________________________ Address ____________________________ title __________________________________ 7. LIST THE FOLLOWING INFORMATION FOR THE INDIVIDUAL RESPONSIBLE FOR THE ACTIVITIES OF THE PAID SOLICITOR IN ALASKA: Name ________________________________________________________________________ Mailing address _____________________________________________________________ Street address ______________________________________________________________ City, state (or country), zip _______________________________________________ Daytime phone ( ) ____- _____________ 8. LIST THE NAMES AND TITLES OF THREE OFFICERS OR EMPLOYEES RECEIVING THE GREATEST TOTAL AMOUNT OF COMPENSATION FROM THE ORGANIZATION: 1. Name ____________________________ title __________________________________ 2. Name ____________________________ title __________________________________ 3. Name ____________________________ title __________________________________ 9. LIST THE STATES IN WHICH THE PAID SOLICITOR HAS PERFORMED SERVICES IN THE LAST 5 YEARS: ________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ 10. CONTRACTS OR SUMMARIES (you must check one). (a) [ ] Attached is a copy of the fund-raising service contract required by AS 45.68.020 for each charity on whose behalf the paid solicitor will raise funds. You must attach copies of all of those contracts to this form. (b) [ ] Instead of submitting copies of the fund-raising service contract, the paid solicitor elects to submit a "Paid Solicitor's Contract Information Summary" for each charity on whose behalf the paid solicitor will raise money in Alaska in the next 12 months. (c) How many charitable organizations are under contract with paid solicitor for fund-raising in Alaska? _____________. A separate contract or contract summary must be submitted for each charitable organization. By signing, the paid solicitor: (a) certifies, under penalty of unsworn falsification in violation of AS 11.56.210 , that the information contained in this Paid Solicitor for Charitable Organization Annual Registration Statement is true and correct to the best of the paid solicitor's knowledge; (b) appoints the Alaska Department of Law to receive all process filed against the registrant under the conditions set out in AS 45.68.080 , and (c) certifies that neither the organization applying for registration nor any of its officers, directors and principals have been convicted of a crime involving charitable solicitation, nor been subject to permanent injunction or administrative order under AS 45.50.471 (Alaska Unfair Trade Practices and Consumer Protection Act). ____________________________ Date ___________________________________________ (registrant's signature) ____________________________ (printed name/title)

PAID SOLICITOR'S CONTRACT INFORMATION SUMMARY

The paid solicitor shall submit one completed copy of this form for each charitable organization with whom the paid solicitor has a contract. Make as many copies as necessary before completing. Return to: Fair Business Practices Section Alaska Department of Law Name of charitable organization ______________________________________________ Mailing address ______________________________________________________________ ______________________________________________________________________________ City State (or country) Zip Individual responsible for contracted services: ______________________________________________________________________________ Address and daytime phone ____________________________________________________ ______________________________________________________________________________ 11. Type of services provided: [ ] Planning [ ] Managing special event [ ] Direct mail solicitation [ ] Direct telephone solicitation [ ] Other (specify) ________________________________________________________ 12. Date services begin: _ / _ / _ Date services end: _ / _ / _ 13. (a) Under the terms of the contract, will the paid solicitor, or any entity retained by the paid solicitor, receive contributions directly or indirectly on behalf of the charitable organization? Yes [ ] No [ ] (b) Is the paid solicitor, or any entity retained by the paid solicitor, compensated on a percentage basis? Yes [ ] No [ ] If yes, what percentage is the paid solicitor entitled to receive under the contract? ____________% What percentage is passed along to the charitable organization? _____________% If percentage basis is not used, describe the method for calculating compensation: ________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ (c) Is the paid solicitor, or any entity retained by the paid solicitor, authorized to incur expenses on behalf of the charitable organization? Yes [ ] No [ ] If yes, describe expenses: _______________________________________________ __________________________________________________________________________ __________________________________________________________________________ 14. Does the contract provide for: (a) access to financial records by both parties? Yes [ ] No [ ] (b) termination of the contract by either party? Yes [ ] No [ ] (c) distribution of fees, costs, and revenue in the event the contract is terminated or the agreed upon responsibilities are not fulfilled? Yes [ ] No [ ] (d) how to identify and handle contributions received directly by the charitable organization, not as the result of services provided by the paid solicitor? Yes [ ] No [ ] (e) the charitable organization's right to review, monitor, and approve or disapprove all solicitation materials used by the paid solicitor? Yes [ ] No [ ] 15. Does the contract identify what costs and the maximum amount of costs that will be paid by the charitable organization, regardless of whether paid directly or deducted from proceeds? Yes [ ] No [ ] 16. Does the service to be provided include solicitations for the sale of tickets to the public for an event with the right of the paid solicitor to offer to donate unused tickets to any other persons or groups? Yes [ ] No [ ] If yes, complete the following: (a) Are the persons or groups who will receive the unused tickets or donation identified by name in the contract? Yes [ ] No [ ] (b) Will the persons or groups in (a) above be identified by name during the solicitation? Yes [ ] No [ ] (c) Has written permission to use the names of persons or groups in (a) above been obtained? Yes [ ] No [ ] (d) Does the contract specify the responsibility of the paid solicitor for distributing unused tickets to named or unnamed persons or groups? Yes [ ] No [ ] I certify, under penalty of unsworn falsification in violation of AS 11.56.210 , that the information contained in this Paid Solicitor's Contract Information Summary is true and correct to the best of my knowledge. Dated ________________________ ______________________________________ (paid solicitor signature) ______________________________________________________________________ (printed name) ______________________________________________________________________ (title)

History: Eff. 3/19/94, Register 129

Authority: AS 45.68.020

AS 45.68.130

Editor's note: The address for filing paid solicitor for charitable organization registration statements and paid solicitor's contract information summaries or obtaining information about those statements or summaries is the Alaska Department of Law, Fair Business Practices Section, 1031 West 4th Avenue, Suite 200, Anchorage, Alaska 99501-1994.