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Compliance Insights

Massachusetts & Professional Fundraiser Compliance Requirements

Amar Shah
July 31, 2024
Amar Shah

This blog is a summary of compliance rules and environment review of the State of Massachusetts for Professional Fundraisers (known as Professional Solicitors in Massachusetts). 

In this post, we’ll explore the following:

  1. Overall regulatory climate for Professional Solicitors in Massachusetts
  2. Critical legal definitions of Professional Solicitors in Massachusetts
  3. Required filing activities
  4. State monitoring reports

Regulatory Climate for Professional Fundraisers in Massachusetts

Massachusetts regulations are more burdensome and expensive than a typical state.

But from our experience and tracking their publicly announced regulatory actions, the Massachusetts Attorney General doesn’t devote a lot of attention or resources to Professional Solicitor compliance monitoring or assessing fines or penalties.

That being said, failure to comply with registration, reporting, and disclosure requirements can result in significant fines and penalties. 

According to Massachusetts General Laws, specifically Chapter 68, Section 32, the Attorney General (“AG”) office can impose fines and penalties for non-compliance.

For example, if a professional solicitor fails to file the required registration applications, statements, or annual reports, the AGO can cancel or suspend their registration.

Additionally, false or misleading information in filings can lead to the revocation of their registration and potential fines.

Massachusetts requires a surety bond of $25,000 from any registered Professional Solicitors.

Based on the above information, the lack of public announcements or tracking and reporting by the AG of fines and penalties imposed, the requirement for a surety bond, and our professional experience with the State of Massachusetts, our Change Regulatory Environment Rating for Massachusetts is:

Rating: Average

Jurisdiction

Massachusetts asserts its legal jurisdiction over professional solicitors who engage in charitable solicitation within the state’s borders. 

This means that any individual or organization soliciting charitable contributions from residents of Massachusetts must comply with the state's laws and regulations, regardless of where the solicitor is based or what method the solicitor uses to solicit donations.

Professional Fundraisers defined in Massachusetts

Note that Massachusetts calls Professional Fundraisers “Professional Solicitors.” 

According to Chapter 68, Section 32 of the Massachusetts Code, the definition of a Professional Solicitor is as follows:

“Any individual or business that is hired by a charitable organization to conduct a fund raising campaign on the charity's behalf is considered a professional solicitor. Individuals or businesses hired by a non-charity to conduct a fundraising campaign with a charitable appeal are also considered professional solicitors. If an individual or business is working as a subcontractor for another registered fundraiser, that individual or business must separately register with the AGO as a fundraiser.”

In summary, if you are helping a charity raise money (as a business or individual) and you are not an employee of the charity, but the charity is paying you any consideration for your efforts, you are a Professional Solicitor.

Required Filings

The state of Massachusetts requires the following filings:

  1. Initial registration
  2. Registration and payment of surety bond
  3. Contract and Notice of Solicitation Report
  4. Annual Professional Solicitor Report 

Below are the detailed links and instructions for each required filing.

Initial Registration

Professional Solicitors must file a Registration Application with the AG’s Office prior to any solicitation activity and on an annual basis.

  • Form: Registration Application, Form 10
  • Filing Method: By mail
  • Fee: $1,000, checks payable to: Commonwealth of Massachusetts
  • Due Date: Before any solicitation occurs.

Registration and Payment of Surety Bond

Professional Solicitors must file a registration and payment of a $15,000 surety bond with the Secretary of State’s Office prior to any solicitation activity and on an annual basis.

  • Form: Registration Application, Form 9
  • Filing Method: By mail
  • Bond: $25,000, checks payable to: Commonwealth of Massachusetts‍
  • Due Date: Before any solicitation occurs.

Contract and Notice of Solicitation Report

Professional solicitors must file a Notice of Solicitation and all contracts they have with charitable organizations.

  • Form: Notice of Solicitation/Contract Report, Form 10A
  • Filing Method: By mail
  • Fee: $0
  • Due Date: 10 days prior to the initiation of the charitable sales promotion

Annual Professional Solicitor Report 

Professional solicitors must submit a report for each solicitation campaign, in partnership with the relevant charity. 

  • Form: Annual Professional Solicitor Report, Form 11A
  • Filing Method: By mail
  • Fee: $0
  • Due Date: Annually for any campaign, must be signed by a Professional Solicitor and Notarized.

Are you a Professional Fundraiser?

Talk to one of our experts today to find out how Change can help you.
Learn more

Ethical Requirements

Massachusetts defines specific ethical requirements for any solicitation.

Ethical prohibitions are:

  • ‍Not Disclosing Fundraiser Status: Failing to inform potential donors that the solicitation is being conducted by a paid professional fundraiser.‍
  • False Representation of Solicitor’s Affiliation: Pretending to be a member of the charitable organization or implying such an affiliation without actually being part of the organization.‍
  • Deceptive Use of Charity Names: Omitting key parts of the charity's name, or using similar-sounding names to mislead donors. For example, using "XYZ Police" instead of "XYZ Police Association" to imply an official police department solicitation.‍
  • Misrepresentation of Fund Use: Claiming that donated funds will support charitable purposes when they are not intended for such use.‍
  • Incorrect Fund Allocation Disclosure: Providing false information about the percentage of donations that will go to the charity. If asked, fundraisers must truthfully disclose the actual percentage of funds benefiting the charity.‍
  • Misleading Local Fund Usage: Stating that donations will be used locally when they are not. Solicitors must accurately disclose the location and address of the charitable organization benefiting from the funds.‍
  • Unauthorized Use of Charity Names: Using the name of a charitable organization without having proper written authorization from that charity.‍
  • False Endorsement Claims: Falsely claiming that certain organizations support or will benefit from the fundraising campaign.‍
  • AGO Registration Misrepresentation: Leading donors to believe that registration with the Attorney General’s Office (AGO) guarantees the legitimacy of the charity.‍
  • Creating Sham Charities: Establishing a charity solely as a fundraising mechanism for the professional fundraiser’s benefit.‍
  • Misuse of Charitable Funds: Diverting funds intended for charitable purposes to private use.‍
  • Coercive Solicitation Tactics: Using aggressive or high-pressure methods to force potential donors into making quick contributions.‍
  • Unregistered Charitable Appeals: Soliciting donations for an organization that has not properly registered with the AGO.

Violation of the above requirements can lead to fines, penalties, or loss of Massachusetts' licensure.

Consider Change to Simplify and Cut Costs

Change has an all-in-one solution for businesses that raise money for charities via sweepstakes, auctions, events, raffles, and direct contact. 

Change allows you to:

  • Automate payments and reporting
  • Benefit from flexible expense ratios
  • Choose from 1.3 million charities to support
  • Get expenses paid back to you within one business day

Summary‍

Massachusetts takes legal compliance for Professional Fundraisers (Professional Solicitors in Massachusetts) seriously. 

Use the resources above to ensure you are compliant. 

You might also consider using Change to manage ongoing compliance and automate your back-office functions (including payouts, reporting, and expense ratio management) with the charities you work with.

Professional Fundraisers who work with Change typically see a reduction of 50-70% in their compliance expenses and an increased capacity to manage additional campaigns and clients with their current team levels of staffing. 

With Change, you can do more campaigns and at a lower cost.

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