Attachment___1_-_Requirements_List.pdf

RFQ: 50310218Q0023

Attachment # 1 - Requirements List

Web-based Legal Research Platform subscription

The U.S. Securities and Exchange Commission (SEC) requires subscription to a Commercial-off the Shelf (COTS) web-based platform that provides federal, state, and international securities information, commodities and derivatives information, and stock exchange publications.

The SEC requires Commission-wide access via the Internet to an online legal research platform. The subscription shall provide access to a collection of stock exchange guides and securities publications. The securities publications shall include federal and state statutes, related regulations, rules, case law, handbooks, agency issuances, and reports, along with annotated commentary and analysis.

The integrated online service shall include the following functional features:

• full text search and report features including the ability to arrange search results by titles or relevance

• links from primary materials to the relevant sections of secondary material, including annotations and commentary, and vice versa within the integrated online service

• the ability for users to customize the service, e.g., create their own personalized tabs, research folders, and daily tracker alerts

The subscription shall include publications in the following categories:

Federal Securities Materials, including federal laws, regulations, rules, releases, forms, SEC staff comment letters, related administrative and judicial opinions, and related finding lists, analysis, and commentary covering such laws as the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Sarbanes-Oxley Act of 2002.

Specific titles to be included:

- Federal Securities Law Reporter with full text cases back to July 1993 and Federal Securities Law Reporter Report Letter

- Federal Securities Laws – Regulations & Forms

- SEC Releases, including SEC Docket (1973-current) and selected releases (1940-

1972)

- SEC No-Action Letters (1971-current)

- Securities Regulation, current edition / Loss, Seligman & Paredes

- Fundamentals of Securities Regulation, current edition / Loss, Seligman &

Paredes

- Corporate Finance and the Securities Laws, current edition / Johnson, McLaughlin & Haueter

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Exchanges and Rule Making Board Guides, including all the stock exchange guides listed below with their regulatory compliance rules and exchange issuances or disciplinary actions.

Specific titles to be included:

- Chicago Board Options Exchange (Cboe) Guide

- Chicago Stock Exchange Guide

- FINRA Manual (formerly NASD; includes FINRA Rules, Incorporated NYSE

Rules, and remaining NASD Rules)

- Municipal Securities Rulemaking Board Manual

- NASDAQ BX Rules

- NASDAQ PHLX Rules

- NYSE Arca Guide

- NYSE Disciplinary decisions, 1992-present

- NYSE Listed Company Manual

International Securities Materials, including comparative commentary, a directory of foreign securities administrators and exchanges and SEC international releases (1994-current).

Specific titles to be included:

- Capital Markets Handbook, current edition / Burch & Foster

- International Securities Law Handbook, current edition / Soulier & Best

- U.S. Regulation of the International Securities and Derivatives Markets, current edition / Greene, Beller, Rosen et al.

Investment Management, including investment management legal and regulatory reference material.

Specific titles to be included:

- Broker-Dealer Law and Regulation, current edition / Poser, Fanto & Gross

- Investment Lawyer

- Mutual Funds Guide & Mutual Funds Guide Report Letter

- Regulation of Money Managers: Mutual Funds and Advisers, current edition /

Frankel, Laby & Schwing

Commodities & Derivatives, including commodity futures laws, news, regulations, forms, explanations, and court decisions.

Specific titles to be included:

- Commodity Futures Law Reporter

- Derivatives Regulation, current edition / Johnson, Hazen, Ervin & Mills

- Offerings of Asset-Backed Securities, current edition / Arnholz, Auerbach &

Gainor

- Securitization of Financial Assets, current edition / Kravitt

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Government Contracts Library, including all pertinent federal government contracting laws, regulations, court and administrative board decisions.

Specific titles to be included:

- Government Contracts Reporter

- Full text of Federal Acquisition Regulations and previous versions dating back to

- Nash & Cibinic e-Series, including o Administration of Government Contracts o Competitive Negotiation: The Source Selection Process o The Government Contracts Reference Book

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