SOLICITATION NOTICE
B -- Investment Adviser/Broker-Dealer Study
- Notice Date
- 8/1/2006
- Notice Type
- Solicitation Notice
- NAICS
- 523999
— Miscellaneous Financial Investment Activities
- Contracting Office
- Securities and Exchange Commission, Procurement and Contracts Branch, Operations Center, 6432 General Green Way, MS 0-20, Alexandria, VA, 22312-2413
- ZIP Code
- 22312-2413
- Solicitation Number
- SECHQ1-06-R-0177-Final
- Response Due
- 8/24/2006
- Archive Date
- 9/8/2006
- Description
- The Securities and Exchange Commission is issuing this Request for Proposal for a study comparing how the different regulatory systems that apply to broker-dealers and investment advisers affect the investors. Certain entities are ineligible to be selected as Contractor or subcontractors, including: (a) any participant in the litigation against the SEC brought by the Financial Planning Association (FPA v. SEC, Nos. 04-1242, 05-1145 (D.C. Cir.)); (b) PCAOB-registered firms; and (c) any investment adviser, broker-dealer or self-regulatory organization. Employees and associated persons of such entities are also ineligible, as is any person excluded by statute, regulation or rule from selection, such as an SEC employee. Nor, in the opinion of the Contracting Officer, shall the Contractor or its subcontractors: (1) appear to have prejudged either the conclusions of this empirical study or the answers to the larger question of the most effective legal and regulatory approach to regulating investment professionals in today?s marketplace; or (2) present other circumstances that cause the Contracting Officer to question the Contractor?s or subcontractor?s impartiality, such as a material conflict of interest. During contract performance, the Contractor and/or subcontractor shall submit for the Contracting Officer?s review any materials that may bear on that determination, including information relating to employment by, representation of, or consulting engagements with any ineligible person within the past three years, updates to any information submitted as part of the Conflict of Interest Certification (Section 5(e) in the original Proposal submission), or such other information as the Contracting Officer may reasonably require.
- Place of Performance
- Address: 100 F Street, N.E., Washington, DC
- Zip Code: 20549
- Country: UNITED STATES
- Zip Code: 20549
- Record
- SN01103585-W 20060803/060801221751 (fbodaily.com)
- Source
-
FedBizOpps Link to This Notice
(may not be valid after Archive Date)
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