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FBO DAILY ISSUE OF AUGUST 03, 2006 FBO #1711
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
 

Record

SN01103585-W 20060803/060801221751 (fbodaily.com)
 

Source

FedBizOpps Link to This Notice
(may not be valid after Archive Date)

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