Form PFR 1 Professional Fundraiser Registration Statement - Minnesota

Form PFR1 is a Office of the Minnesota Attorney General - issued form also known as the "Professional Fundraiser Registration Statement".

Download a PDF version of the latest Form PFR1 down below or find it on the Office of the Minnesota Attorney General Forms website.

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PFR1
Mail To:
Minnesota Attorney General’s Office
STATE OF MINNESOTA
Charities Division
445 Minnesota Street, Suite 1200
PROFESSIONAL FUNDRAISER
St. Paul, MN 55101-2130
REGISTRATION STATEMENT
INSTRUCTIONS
Website Address:
www.ag.state.mn.us/charity
(Pursuant to Minn. Stat. § 309.531)
WHO MUST FILE
Any professional fundraiser that solicits contributions on behalf of a charitable organization in
Minnesota must file a Registration Statement with the Minnesota Attorney General’s Office. See Minn.
Stat. § 309.531 subd. 1.
A professional fundraiser is anybody who, for financial compensation or profit, performs for a charitable
organization any service in connection with the solicitation of contributions in this state. This includes any
person who for compensation plans, manages, advises, consults, or prepares materials for, or with respect to, the
solicitation in this state of contributions for a charitable organization. See Minn. Stat. § 309.50 subd. 6.
“Solicit” and “solicitation” have the meanings set forth in Minn. Stat. § 309.50 subd. 10 and include oral or
written requests. “Contribution” has the meaning set forth in Minn. Stat. § 309.50 subd. 5 and includes the
promise or grant of any money or property of any kind or value, excluding government grants. “Contribution”
also includes the difference between the direct cost of goods and services and the price at which a charitable
organization or any person acting on its behalf resells those goods and services to the public.
Please refer to the full definitions set forth in Minn. Stat. § 309.50 when completing your forms.
WHEN TO FILE
A professional fundraiser must register with the Minnesota Attorney General’s Office prior to
commencing solicitations on behalf of a charitable organization in Minnesota.
Solicitation prior to registration may result in the imposition of civil penalties up to $25,000 for each violation
of Minn. Stat. ch. 309. Each registration is effective for a period of not more than 12 months commencing on
th
the date of registration and expiring on April 30
following the date of registration. See Minn. Stat. 309.531
subd. 1.
1
PFR1
Mail To:
Minnesota Attorney General’s Office
STATE OF MINNESOTA
Charities Division
445 Minnesota Street, Suite 1200
PROFESSIONAL FUNDRAISER
St. Paul, MN 55101-2130
REGISTRATION STATEMENT
INSTRUCTIONS
Website Address:
www.ag.state.mn.us/charity
(Pursuant to Minn. Stat. § 309.531)
WHO MUST FILE
Any professional fundraiser that solicits contributions on behalf of a charitable organization in
Minnesota must file a Registration Statement with the Minnesota Attorney General’s Office. See Minn.
Stat. § 309.531 subd. 1.
A professional fundraiser is anybody who, for financial compensation or profit, performs for a charitable
organization any service in connection with the solicitation of contributions in this state. This includes any
person who for compensation plans, manages, advises, consults, or prepares materials for, or with respect to, the
solicitation in this state of contributions for a charitable organization. See Minn. Stat. § 309.50 subd. 6.
“Solicit” and “solicitation” have the meanings set forth in Minn. Stat. § 309.50 subd. 10 and include oral or
written requests. “Contribution” has the meaning set forth in Minn. Stat. § 309.50 subd. 5 and includes the
promise or grant of any money or property of any kind or value, excluding government grants. “Contribution”
also includes the difference between the direct cost of goods and services and the price at which a charitable
organization or any person acting on its behalf resells those goods and services to the public.
Please refer to the full definitions set forth in Minn. Stat. § 309.50 when completing your forms.
WHEN TO FILE
A professional fundraiser must register with the Minnesota Attorney General’s Office prior to
commencing solicitations on behalf of a charitable organization in Minnesota.
Solicitation prior to registration may result in the imposition of civil penalties up to $25,000 for each violation
of Minn. Stat. ch. 309. Each registration is effective for a period of not more than 12 months commencing on
th
the date of registration and expiring on April 30
following the date of registration. See Minn. Stat. 309.531
subd. 1.
1
PFR1
PROFESSIONAL FUNDRAISER
REGISTRATION STATEMENT INSTRUCTIONS
(Continued)
HOW TO FILE
This form may be submitted via email and the fee may be paid electronically.
• The form and all attachments should be emailed to charity.registration@ag.state.mn.us. The email and
attachments can be no larger than 25 MB. The subject line of the email must contain the organization’s
name. If the materials you are submitting are more than 25 MB, submit the attachments in separate emails
properly labeled in the subject line (e.g., email 1 of 3).
• Documents must be in PDF format and named in an identifying manner (e.g., PFR Registration Statement).
• You will receive an automatically generated confirmation email. Receipt of the email confirms only that
this Office received your submission and is not an attestation regarding the validity or completeness of the
submitted materials.
• You
may
pay
the
$200
registration
fee
and/or
$300
late
fee
via
credit
card
at
www.ag.state.mn.us/Charity/CharFees.aspx, or you may submit a check via U.S. mail. If paying by check,
make the check payable to “State of Minnesota.”
PLEASE NOTE
If submitting these forms via mail, please do not use staples.
• Include all required attachments. Registration statements that fail to include all required attachments will
be considered deficient and registration will not be effective until all required materials are received by the
Minnesota Attorney General’s Office. You will be informed of your registration status by letter from the
Minnesota Attorney General’s Office.
• File this registration statement on or before April 30 (if renewing registration) or before soliciting in
Minnesota (if registering for the first time). Failure to file on time will result in a late fee of $300. This
late fee shall be in addition to the $200 registration fee.
• NOTICE: All information and documentation provided as part of registration and reporting shall be
public records.
2
PFR1
Mail To:
Minnesota Attorney General’s Office
STATE OF MINNESOTA
Charities Division
445 Minnesota Street, Suite 1200
PROFESSIONAL FUNDRAISER
St. Paul, MN 55101-2130
REGISTRATION STATEMENT
Website Address:
(Pursuant to Minn. Stat. § 309.531)
www.ag.state.mn.us/charity
Name of Professional Fundraiser
Telephone and Fax Number of Professional Fundraiser
Street Address of Professional Fundraiser
Email Address of Professional Fundraiser
City, State, and Zip Code of Professional Fundraiser
Website of Professional Fundraiser
1.
List all other names and addresses under which this Professional Fundraiser has been known or operated
or is known or operates:
2.
Legal Form of Professional Fundraiser:
Corporation
Partnership
Sole Proprietorship
Unincorporated Association
Limited Liability Company
Other:
Identify the state in which registrant is organized or incorporated:
Date organized or incorporated:
4.
List the name and home address of all organizers, owners, members, partners, or shareholders holding
25% or more of the ownership shares or stock in the registered entity. Attach a list if more space is
needed.
5.
Names, addresses, and titles of all officers, directors, and key employees. Attach a list if more space is
needed.
a. Name and title:
Address:
b. Name and title:
Address:
c. Name and title:
Address:
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PFR1
PROFESSIONAL FUNDRAISER REGISTRATION STATEMENT
(Continued)
6.
Have any of the persons listed in response to Numbers 4 or 5 ever been a party to any litigation,
criminal or civil, involving claims of fraud, conversion, mismanagement of funds, breach of fiduciary
duty, breach of contract, or any other claim involving dishonesty?
Yes
No
If yes, attach a detailed explanation as to date, court, claim and disposition.
7.
Is the professional fundraiser registered to solicit contributions in other states?
Yes
No
If yes, attach a list of all other states.
8.
Has the professional fundraiser’s right to solicit contributions ever been denied, suspended, limited,
revoked, or enjoined by any state or by any court or are there any proceedings requesting such relief?
N
Yes
o
If yes, attach a detailed explanation.
9.
List all charitable organizations for which registrant is currently obligated to act as a professional
fundraiser. For each, provide complete legal name, EIN, and address, and indicate whether the
contract is currently on file or attached. Attach a list if more space is needed.
Organization Name, Address, and EIN
Contract
Contract
Attached
On File
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
9a. Have any of professional fundraisers’ employees, officers, or directors ever been employed by
and/or affiliated with any of the organizations identified in response to number 9 within the last
five (5) years?
Yes
No
If yes, identify the employee(s) and the related organization(s):
10.
Does the professional fundraiser actively solicit (rather than consult or advise) for any of the
organizations identified in response to number 9?
Yes
No
If no, identify the paragraph(s) in the contract that describe(s) the professional
fundraiser’s activities on behalf of each organization:
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PFR1
PROFESSIONAL FUNDRAISER REGISTRATION STATEMENT
(Continued)
11.
Does the professional fundraiser have custody of or access to contributions (including both property
and/or money) from a solicitation at any time?
Yes
No
If yes, a surety bond is required. See Number 14 on this form.
12.
Does the professional fundraiser anticipate that any of the services it will provide to charitable
organizations will be provided by another entity under a subcontractor arrangement?
Yes
No
If yes, please attach a list identifying the charity and the subcontractor’s name and
address.
12a.
If yes, is the subcontractor registered with the Attorney General’s Office?
Yes
No
13.
ATTACH a copy of every contract between each charitable organization and the professional
fundraiser. If additional contracts are entered into after the filing of this registration statement,
submit a copy of the new contract at that time. Each contract must:
a.
Be in writing;
b.
Contain information which will enable the Minnesota Attorney General’s Office to identify the
services the professional fundraiser is to provide, including whether the professional fundraiser
will at any time have access to or custody of contributions; and
c.
The contract must disclose the percentage or a reasonable estimate of the percentage of the total
amount solicited from each person which will be received by the charitable organization.
• For example, a professional fundraiser and a charitable organization estimate that a
solicitation campaign will yield $10,000 in contributions. The charitable organization
agrees to pay the professional fundraiser a flat fee of $2,500. In this example, the
estimated percentage of funds received by the charitable organization from the campaign
is 75%. Unless a charitable organization pays a professional fundraiser nothing, the
estimated percentage retained by the charitable organization is unlikely to be 100%.
14.
ATTACH a fully executed bond for $20,000 on the appropriate form, if the professional fundraiser at
any time will have custody of or access to contributions (which includes both money and property)
from a solicitation.
15.
ATTACH a completed solicitation notice on the appropriate form, if the professional fundraiser or any
person the professional fundraiser employs, procures, engages, or solicits contributions in Minnesota.
16.
ATTACH a financial report for previous campaigns in Minnesota if the professional fundraiser
previously solicited contributions in Minnesota, unless the report has already been filed. The financial
report should be on the form available at the Minnesota Attorney General’s Office’s website.
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