SOURCES SOUGHT
D -- SECRFI-ICHD - SECRFI-ICHDR
- Notice Date
- 10/5/2012
- Notice Type
- Sources Sought
- NAICS
- 518210
— Data Processing, Hosting, and Related Services
- Contracting Office
- Securities and Exchange Commission, Office of Acquisitions, Office of Acquisitions, 100 F Street, NE, MS-4010, Washington, District of Columbia, 20549, United States
- ZIP Code
- 20549
- Solicitation Number
- SECRFI-ICHDR
- Archive Date
- 11/6/2012
- Point of Contact
- D'Jaris Gladden, Phone: 2025518908, Gabriel G. Aviles, Phone: 2025518697
- E-Mail Address
-
gladdend@sec.gov, avilesg@sec.gov
(gladdend@sec.gov, avilesg@sec.gov)
- Small Business Set-Aside
- N/A
- Description
- Sources Sought - RFI REQUEST FOR INFORMATION (RFI) SOURCES SOUGHT This sources sought notice is issued for information purposes only and does not constitute a solicitation. All information received in response to this RFI marked "Proprietary" will be handled in accordance with applicable regulations and statues. Responses will not be returned. The Securities and Exchange Commission (SEC) does not intend to award a contract solely on the basis of this notice. This is not a Request for Proposal (RFP) and does not commit the SEC to solicit or award a contract now or in the future or otherwise pay for the information solicited. Respondents shall be responsible for all costs associated with the information submitted in response to this notice. The SEC is seeking interested sources for a near-future solicitation. At this time, no solicitation exists. In accordance with FAR 15.201(e), responses to this RFI are not offers and cannot be accepted by the Government to form a binding contract. Therefore, DO NOT REQUEST A COPY OF THE SOLICITATION. PURPOSE The purpose of this notice is to identify sources that can provide portfolio holdings information with respect to investment companies (i.e., mutual funds, ETFs, etc.) in a structured format. All large and small businesses capable of providing such data are encouraged to respond to this notice. This includes, Small Business (SB), Veteran-Owned (VOSB), Service-Disabled Veteran Owned (SDVOB), HUBZone, Woman-Owned (WOSB), Economically Disadvantaged Women-Owned (EDWOSB), Small Disadvantaged Business (SDB), and Section 8(a) small business concerns. BACKGROUND The Office of Compliance Inspections and Examinations (OCIE) protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, national securities exchanges, clearing agencies, self-regulatory organizations (SROs) such as the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board (PCAOB). OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally. For more information about the National Examination Program please visit, http://sec.gov/about/offices/ocie.shtml The Division of Risk, Strategy, and Financial Innovation (RSFI) was created in September 2009 to integrate financial economics and rigorous data analytics into the core mission of the SEC. The Division is involved across the entire range of SEC activities, including policy-making, rule-making, enforcement, and examination. As the agency's "think tank," RSFI relies on a variety of academic disciplines, quantitative and non-quantitative approaches, and knowledge of market institutions and practices to help the SEC approach complex matters in a fresh light. RSFI also assists in the SEC's efforts to identify, analyze, and respond to risks and trends, including those associated with new financial products and strategies. Through the range and nature of its activities, RSFI serves the critical function of promoting collaborative efforts throughout the agency and breaking through silos that might otherwise limit the impact of the agency's institutional expertise. For more information about RSFI please visit, http://sec.gov/divisions/riskfin.shtml Generally, an "investment company" is a company (corporation, business trust, partnership, or Limited Liability Company) that issues securities and is primarily engaged in the business of investing in securities. An investment company invests the money it receives from investors on a collective basis, and each investor shares in the profits and losses in proportion to the investor's interest in the investment company. The performance of the investment company will be based on (but it won't be identical to) the performance of the securities and other assets that the investment company owns. The federal securities laws categorize investment companies into three basic types: • Mutual funds (legally known as open-end companies); • Closed-end funds (legally known as closed-end companies); • UITs (legally known as unit investment trusts). In addition, there are variations within each type of investment company, such as stock funds, bond funds, money market funds, index funds, interval funds, and exchange-traded funds (ETFs). SCOPE Investment company holdings data is currently reported to the SEC on a quarterly basis via Electronic Data Gathering, Analysis and Retrieval (EDGAR). Many third party data providers ingest this information and create a structured data set or separately have investment companies submit portfolio holdings information directly to them on a periodic basis. The product should include, among other attributes: • Holdings data in a structured format, preferably XML; • Ability to provide SEC with current and historical databases of holdings information ("data feed"); • Web-based interface to access information by searching on the name of a holding, investment company or any other capture field; • Licensing arrangements whereby 50 - 100 users can access the information either directly from the data feed or via the web-based interface; and • Data quality and validation standards. REQUIREMENT Respondents must be able to demonstrate the breadth and quality of their information. Respondents must describe the historical span of their data, the universe of funds represented by their data, where the funds are domiciled, and provide a list of data fields included. The capabilities package shall be submitted electronically to Ms. D'Jaris Gladden; gladdend@sec.gov. The email must be clearly marked "RFI for Investment Company Holding" in the subject line. The entire capabilities package is limited to five (5) pages and may not exceed 10MB. All packages must be received via electronic mail only before October 22, 2012 at 3:00 PM, EST. Respondents should also include in their response to this RFI the following information: a. Business name and size b. DUNS number and CAGE Code c. The North American Industry Classification System Code (NAICS) d. Capabilities Statement; specifically identifying information requested in paragraph one of under the REQUIREMENT header e. Comments on proposed technical solution to include innovation and approach; specifically addressing information identified in the SCOPE All questions regarding this notice shall be submitted in writing and submitted via electronic mail only to Ms. D'Jaris Gladden; gladdend@sec.gov by October 11, 2012 by 12:00 Noon, EST. *FEDERAL ACQUISITION REGULATION (FAR) REQUIREMENTS The System for Award Management (SAM) Registration has replaced the Central Contractor Registration (CCR) and Online Representations and Certifications Application (ORCA) databases. SAM is the primary database for procurement and payment information for contractors who wish to do business with the Federal Government. Prospective contractors are required to register in SAM in order to be awarded a contract by the Federal Government. Contractors are required to complete a one-time registration to provide basic information relevant to procurement and financial transactions. Contractors must update or renew their registration at least once per year to maintain an active status. Additional information regarding SAM can be accessed via www.sam.gov. The FAR mandates the use of SAM and prohibits contracting officers from awarding a contract to contractors who are not registered. NOTE: Registration in SAM does not guarantee that a contract will be awarded to a prospective contractor.
- Web Link
-
FBO.gov Permalink
(https://www.fbo.gov/spg/SEC/OAPM/PCB/SECRFI-ICHDR/listing.html)
- Place of Performance
- Address: 100 F Street NE, Washington, District of Columbia, 20549, United States
- Zip Code: 20549
- Zip Code: 20549
- Record
- SN02909813-W 20121007/121005234357-6dde5b750add0a3b2d3bc8e0825ab53f (fbodaily.com)
- Source
-
FedBizOpps Link to This Notice
(may not be valid after Archive Date)
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