Charitable Solicitations Regulations
9AAC 12.010 - 9 AAC 12.900

9 AAC 12.010. CHARITABLE ORGANIZATION REGISTRATION STATEMENT

  1. To file a registration statement or registration renewal statement, a charitable organization must use a registration statement or registration renewal statement on a form or in a format issued by the department. Information provided on the statement must include
    1. the full legal name and federal taxpayer identification number of the charitable organization;
    2. the charitable organizationís mailing address, physical address, telephone number, facsimile number, electronic mail address, and Internet address;
    3. the names under which the charitable organization does business or solicits contributions;
    4. the place where, and the date when, the charitable organization was established or incorporated, and the type of organization;
    5. the charitable organizationís tax exempt status with the United States Internal Revenue Service and whether the organizationís tax exempt status has ever been denied, revoked, or modified;
    6. the names and addresses of the members of the charitable organizationís governing body, including officers, directors, trustees, and principal employees;
    7. the general purposes for which the charitable organization is organized and for which contributions are solicited;
    8. the methods by which the charitable organization solicits contributions;
    9. the names and addresses of any paid solicitors that solicit contributions on behalf of the charitable organization;
    10. the dates on which the accounting or fiscal year of the charitable organization begin and end;
    11. a statement containing financial information for the charitable organizationís most recent fiscal or accounting year; the statement must include
      1. the total dollar value of revenue received from all sources; and,
      2. total expenditures;
    12. a list of other states where the charitable organization is registered to solicit contributions; and
    13. a statement explaining whether the charitable organization has ever been enjoined or prohibited by a government agency or court in any state or jurisdiction from soliciting contributions.
  2. If the department considers submission of the information necessary to verify information provided on the registration statement or registration renewal statement or to review the charitable organizationís compliance with AS 45.68 and this chapter, and on the departmentís request, the charitable organization shall provide a complete copy of
    1. the most recent Form 990, Form 990-N, Form 990-EZ, Form 990 PF, and Form 990T that the charitable organization filed with the United States Internal Revenue Service, including all schedules and statements; however, a charitable organization that files Form 990 or Form 990-EZ is not required to provide Schedule B in response to a request made under this subsection;
    2. the charitable organizationís most recent audited financial statement; and
    3. any contract or written agreement between the charitable organization and any paid solicitor identified in the registration statement or registration renewal statement.
  3. An authorized employee of the charitable organization or member of the organizationís governing body must sign the registration statement or registration renewal statement.
  4. The department will not accept a registration statement or registration renewal statement from a charitable organization if
    1. the statement is not complete;
    2. the statement contains material misrepresentations or false information;
    3. the statement is not legible;
    4. an authorized employee of the charitable organization or member of the organizationís governing body has not signed the statement; or
    5. the charitable organization has not complied with requirements of AS 45.68.010 or this section.
  5. A charitable organization registration or registration renewal is complete for purposes of AS 45.68.010 on the date the department sends notice to the charitable organization that the registration is complete.
  6. Nothing in this section relieves a charitable organization of the obligation to provide documents to the department under AS 44.23, AS 45.50, AS 45.63, AS 45.68, or another provision of law.

9 AAC 12.020. PAID SOLICITOR REGISTRATION STATEMENT.

  1. To file a registration statement or registration renewal statement, a paid solicitor must use a registration statement or registration renewal statement on a form or in a format issued by the department. Information provided on the statement must include
    1. the full legal name and federal taxpayer identification number of the paid solicitor;
    2. the paid solicitorís mailing address, physical address, telephone number, facsimile number, electronic mail address, and Internet address;
    3. any additional addresses that the paid solicitor uses to solicit contributions in this state;
    4. the names under which the paid solicitor does business or solicits contributions;
    5. the place where, and the date when, the paid solicitor was established or incorporated, and the type of organization;
    6. the names and addresses of the paid solicitorís owners, officers, directors, and principal employees;
    7. the names, addresses, electronic mail addresses, and telephone numbers of individuals responsible for the activities of the paid solicitor in this state;
    8. a list of other states where the paid solicitor is registered to solicit contributions;
    9. the methods by which the paid solicitor solicits contributions; and
    10. a statement explaining whether
      1. the paid solicitor has ever been enjoined or prohibited by a government agency or court in any state or jurisdiction from soliciting contributions; and
      2. the paid solicitor or any of its owners, officers, directors, or principal employees has ever been convicted of a crime involving charitable solicitations in any state or jurisdiction.
  2. A paid solicitor registration statement must be signed by
    1. the paid solicitor; or
    2. an authorized owner, officer, director, or employee of the paid solicitor, if the paid solicitor is an organization.
  3. The department will not accept a registration statement or registration renewal statement from a paid solicitor if
    1. the statement is not complete;
    2. the statement contains material misrepresentations or false information;
    3. the statement is not legible;
    4. the statement is not signed by
      1. the paid solicitor; or
      2. an authorized owner, officer, director, or employee of the paid solicitor, if the paid solicitor is an organization; or
    5. the paid solicitor has not complied with requirements of AS 45.68.010 or this section.
  4. A paid solicitor registration or registration renewal is complete for purposes of AS 45.68.010 on the date the department sends notice to the paid solicitor that the registration is complete.

9 AAC 12.030. CHANGE OF INFORMATION.

  1. A paid solicitor shall file a notice, within seven days, of any change of information required to be provided under 9 AAC 12.020 or change in the sureties, status, or expiration dates of the bond required under 9 AAC 12.060, or any claims or payments made against the bond.

9 AAC 12.040. WRITTEN CONTRACT REQUIRED.

  1. A paid solicitor may not solicit contributions on behalf of a charitable organization unless the paid solicitor executes a written contract with the charitable organization, which clearly states the respective obligations of the paid solicitor and the charitable organization. The contract must include the
    1. name of the paid solicitor;
    2. name of the charitable organization;
    3. types of services to be provided by the paid solicitor;
    4. dates those services will begin and end;
    5. script that the paid solicitor will use to solicit contributions;
    6. terms of the agreement between the charitable organization and the paid solicitor relating to
      1. the amount or percentages of amounts to accrue to the charitable organization;
      2. limitations, if any, placed on the maximum amount to be raised by the paid solicitor;
      3. costs of fund-raising that will be the responsibility of the charitable organization, whether paid as a direct expense, deducted from the amounts disbursed, or otherwise; and
      4. the manner in which contributions received directly by the charitable organization, not the result of services provided by the paid solicitor, will be identified and used in computing the fee owed to the paid solicitor; and
    7. signature of an owner or principal officer of the paid solicitor and the president, treasurer, or comparable officer of the charitable organization.

9 AAC 12.050. CONTRACT INFORMATION AS PART OF REGISTRATION.

  1. A written contract executed between the charitable organization and the paid solicitor which is in effect at the time the paid solicitor files the original registration statement must be submitted to the department along with the registration statement.
  2. Each separate contract must be identified in the paid solicitor's annual registration statement, and a copy of each contract must be provided.
  3. If any new contract is executed before the expiration of a current registration, the paid solicitor shall, within five days, file a copy of the contract with the department.

9 AAC 12.060. PAID SOLICITOR SURETY BOND.

  1. A paid solicitor shall file a $10,000 surety bond with the department.
  2. A paid solicitor shall maintain the surety bond for the duration of the period the paid solicitor conducts solicitation activity in the state.
  3. A surety bond required under this section must be on the department's form entitled State of Alaska, Paid Solicitor Surety Bond, as revised as of June 22, 2006 and adopted by reference.

Editor's note: The Department of Law's State of Alaska, Paid Solicitor Surety Bond - PDF(362KB), adopted by reference in 9 AAC 12.060, is available from the Department of Law, 1031 West 4th Avenue, Suite 200, Anchorage, Alaska 99501-1994, or by clicking the link above.

9 AAC 12.065. PAID SOLICITOR FINANCIAL REPORT.

  1. To file a financial report required under AS 45.68.055, a paid solicitor must submit the report on a form or in a format issued by the department. Information provided in the report must include
    1. the name of the paid solicitor as registered with the department;
    2. the name of the charitable organization;
    3. the start and end dates of the fundraising campaign;
    4. the dates covered by the report;
    5. the total gross receipts from residents of this state during the time period covered by the report; and
    6. the distribution of gross receipts from the fundraising campaign in this state during the time period covered by the report, including itemized lists of expenses, commissions and other costs, and the net amount paid to the charitable organization.
  2. The department will not accept a paid solicitor financial report that is not complete, is not signed, is not legible, or does not comply with the requirements of AS 45.68.055 or this section.

9 AAC 12.070. MEMBERSHIP DUES AND GOVERNMENT GRANTS.

  1. In determining whether an organization is exempt from registration under AS 45.68.120(a)(3), the organization may exclude the following:
    1. receipts from membership dues if the organization restricts membership to persons engaged in particular vocation or trade; and
    2. money received in the form of a grant from an agency of a municipal, state or federal government.

9 AAC 12.080. REGISTRATION AND RENEWAL FEES.

  1. For charitable organizations, the fee for each registration or registration renewal statement filed with the department under AS 45.68.010 is $40.
  2. For paid solicitors, the fee for each registration or registration renewal statement filed with the department under AS 45.68.010 is $200.
  3. The department will not accept a registration statement or a registration renewal statement for filing under AS 45.68.010 unless the statement is accompanied by the appropriate registration or registration renewal fee established in this section.

9 AAC 12.890. ELECTRONIC FILING AND SIGNATURES.

A filing required under AS 45.68 or this chapter may be filed electronically in a manner and format that the department prescribes, if the department makes electronic filing available. The department may accept an electronic signature on an electronic record that is filed with the department and that requires a signature under AS 45.68 or this chapter in accordance with AS 09.80.150.

9 AAC 12.900. DEFINITIONS.

  1. In this chapter,
    1. "compensation" means salaries, wages, fees, commissions, or any other remuneration or valuable consideration;
    2. "entity" means an individual, organization, group, association, partnership, corporation, agency or unit of state government, or any combination of them.
    3. an "officer or employee" of a charitable organization is one:
      1. whose conduct is subject to direct control by that organization;
      2. who does not act in the manner of a paid solicitor in that person's official capacity with the charitable organization; and
      3. whose compensation is not computed on funds raised or to be raised.