SOURCES SOUGHT
B -- Securities Expertise and Training Services for CFTC's Division of Clearing and Intermediary Oversight
- Notice Date
- 6/8/2009
- Notice Type
- Sources Sought
- NAICS
- 541690
— Other Scientific and Technical Consulting Services
- Contracting Office
- Commodity Futures Trading Commission, Office of Financial Management-Procurement, Procurement Operations and Policy, Three Lafayette Centre, 1155 21st Street, N.W., Washington, District of Columbia, 20581
- ZIP Code
- 20581
- Solicitation Number
- CFCI-09-WR-0164
- Archive Date
- 7/8/2009
- Point of Contact
- William M Roberson, Phone: 202-418-5367
- E-Mail Address
-
wroberson@cftc.gov
(wroberson@cftc.gov)
- Small Business Set-Aside
- N/A
- Description
- This is not a solicitation, but a survey to locate potential sources capable of performing the proposed work. It is anticipated the contractor will be required to develop an instruction manual to the Financial and Operational Combined Uniform Single Report ("FOCUS Report"), provide training services to advise the audit staff of the Commission's Division of Clearing and Intermediary Oversight how best to analyze the financial condition of dual registered futures commission merchants and securities broker-dealers ("FCM/BDs"), as well as providing assessments of dual registered FCM/BD operations. Minimum capabilities must include documented evidence of experience and expertise in all of the following areas: (1) an in-depth knowledge of the broker-dealer capital rules (SEC Rule 15c3-3 and NYSE Rule 325); (2) an in-depth knowledge of the customer protection rules as they apply to securities customers [SEC Rule 15c3-3 (reserve formula and possession and control elements) and Security Investor Protection Corporation coverage]; (3) an in-depth knowledge of the FOCUS Report, including detailed knowledge of the components of the individual line items and how that relates to the operation of the broker-dealer; (4) an in-depth knowledge of regulatory financial rules and interpretations pertaining to broker-dealers (SEC, NYSE, FINRA, etc.); (5) ability to communicate complex technical material, demonstrated by past experience of managing and directing staff and responding to non-routine regulatory and operational problems regarding rules of NYSE, SEC, and CFTC; (6) ready access to senior staff at other regulators, such as SEC and FINRA, based on past dealings to resolve inter-disciplinary questions; (7) extensive practical knowledge of BD operations obtained through reviewing or working at a BD; (8) technical writing ability demonstrated by drafting and developing, in consultation with other regulators and industry participants, new and revised regulations in response to ever changing industry issues; and (9) ability to assess how initiatives of the SEC, OCC, CME, and AICPA may impact each other. Sources with these capabilities are invited to submit complete information to the point of contact at the procuring office identified in this notice by 12:00 p.m. local (Washington, DC) time on June 23, 2009. Information furnished shall demonstrate experience relevant to the proposed project and the minimum capabilities listed above. This synopsis is for information and planning purposes, and the Government will not pay or otherwise reimburse respondents for information submitted. Based upon responses received, the Government reserves the right to set aside any and all procurements that may result hereunder for small or minority-owned businesses. If the evaluation of responses received concludes that none of the responding sources have the necessary capabilities, negotiations may be conducted with Anthony Lucarelli on a noncompetitive basis.
- Web Link
-
FBO.gov Permalink
(https://www.fbo.gov/spg/CFTC/OFMP/POP/CFCI-09-WR-0164/listing.html)
- Place of Performance
- Address: CFTC New York Regional Office, 140 Broadway - 19th Floor, New York, New York, 10005, United States
- Zip Code: 10005
- Zip Code: 10005
- Record
- SN01838624-W 20090610/090608234835-f5f82fae01b3e0b401e718865a5a1daf (fbodaily.com)
- Source
-
FedBizOpps Link to This Notice
(may not be valid after Archive Date)
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