13F Securities List Services

ID: 50310224S0001 • Type: Sources Sought

Description

Posted: Dec. 14, 2023, 3:08 p.m. EST

See Amendment below.

This Notice is issued solely for informational, market research, and planning purposes only. It does not constitute a Request for Proposal (RFP) or a promise to issue an RFP in the future. Respondents are advised that the U.S. Government will not pay for any information or administrative cost incurred in response to this notice. All costs associated with responding to this notice will be solely at the responding party's expense. Not responding to this notice does not preclude participation in any future RFP, if any is issued. Responses to this notice are not offers and cannot be accepted by the U.S. Government to form a binding contract. It is the responsibility of the interested parties to monitor the http://sam.gov website for additional information related to this requirement.

All responses must include company name, address, POC name, telephone number, cage code, Tax ID number, and Business size. Comments regarding the Draft SOW for the Government's awareness and/or consideration are acceptable. The Government may only provide a response confirming receipt of the information. No telephonic responses will be accepted. All responses to this notice shall be by email to the Contracting Officer: Kathleen Ferte at Fertek@sec.gov using Response to Sources Sought Notice 13F Services in the subject line no later than 4:00PM EST on Friday, December 22, 2023.

Attachment: Draft Statement of Work

AMENDMENT: Please see File Format at: https://www.sec.gov/files/investment/13flist2023q3.pdf

Posted: Dec. 7, 2023, 10:43 a.m. EST

Background
The Securities and Exchange Commission (SEC) is an independent federal agency charged with primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States. The agency’s functional responsibilities are organized into 5 Divisions and 16 Offices. The approximately 4,000 staff members are in the Washington, D.C. area and 11 Regional Offices throughout the country.

Work Details
The objective of this Contract is to allow the SEC to make public quarterly a report consisting of a list of securities which complies with the requirements of Section 13(f) and Rule 13f-1 to be used by institutional investment managers in the preparation and filing of Form 13F with the SEC. The contractor shall provide services to compile a 13F List which includes all securities that are 'section 13(f) securities' within the meaning of Rule 13f-1(c) under the Act, and such other securities as the SEC or its staff determine are to be included on the 13F List consistent with the requirements, policies, and purposes of Section 13(f) of the Act and Rule 13f-1 thereunder.
The list should include details such as name of issuer, description of security, CUSIP number, organization by issuer name, indication of additions or deletions from previous lists, and must be current as of each calendar quarter end date.

Overview

Agency

Securities and Exchange Commission (SEC)

Response Deadline

Dec. 22, 2023, 4:00 p.m. EST Past Due

Posted

Dec. 7, 2023, 10:43 a.m. EST (updated: Dec. 14, 2023, 3:08 p.m. EST)

Set Aside

None

NAICS

523210 - Securities and Commodity Exchanges

PSC

R408 - Support- Professional: Program Management/Support

Place of Performance

Washington, DC United States

Source

SAM

Current SBA Size Standard

$47 Million

Pricing

Likely Fixed Price

Est. Level of Competition

Low

Odds of Award

15%

On 12/7/23 Securities and Exchange Commission issued Sources Sought 50310224S0001 for 13F Securities List Services due 12/22/23. The opportunity was issued full & open with NAICS 523210 and PSC R408.

Primary Contact

Name

Kathleen Ferte Profile

fertek@sec.gov

Phone

(202) 551-6946

Question & Answer

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Additional Details

Source Agency Hierarchy

SECURITIES AND EXCHANGE COMMISSION > SECURITIES AND EXCHANGE COMMISSION > SECURITIES AND EXCHANGE COMMISSION

FPDS Organization Code

5000-503102

Source Organization Code

100158379

Last Updated

Jan. 6, 2024

Last Updated By