Attachment 1 - Requirements List.pdf
PDF 121 KB Posted
- Attached to
- Rule 15c2-11 Fixed Income Data Federal contract opportunity
- Solicitation number
- 50310222Q0123
- Issued by
- Securities and Exchange Commission
About this file
This request for quote solicits access to a commercially available structured daily file of Rule 15c2-11 fixed income data. The United States Securities and Exchange Commission requires the data to evaluate exceptions, exemptions, and no action relief under the rule as applicable to fixed income securities quotation. Required data fields include issuer and security descriptions, identifiers, exception indicators, and evaluation factors. The file must be delivered daily via SFTP in a structured format compatible with statistical software. The initial term is two years with three optional one-year extensions. Quotes are due by September 6, 2022 and must include separate technical and pricing submissions meeting stated requirements. Pricing must cover the base period and each option year. Award will be made to the responsible offeror providing the most advantageous solution based on technical acceptability and price.
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Other files for this federal contract opportunity
| File | Type | Posted |
|---|---|---|
| Attachment 2_Pricing.xlsx | XLSX spreadsheet | |
| 50310222Q0123_CombinedSynopsisSolicitation.pdf |
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Page 1 of 1 50310222Q0123
Attachment 1 – Requirements List
The U.S. Securities and Exchange Commission (SEC) requires a structured daily file of Rule 15c2-11 fixed income data for the purposes of evaluating the exceptions, exemptions, and no action relief under the rule as applicable to the quotation of fixed income securities.
Requirements
The subscription shall include but is not limited to the below requirements.
Data Requirements
1. Fixed income asset coverage shall include, among other Central Registration Depository (CRD) income asset classes, Corporate Bonds.
2. Structured data fields shall include:
a. Issuer and security description
b. CUSIP and/or other security identifiers
c. Field flagging whether the security has attributes pursuant to Rule 15c2-11 and associated No-Action relief that indicate whether the security could be quoted
d. Field describing the basis for the indicator in Requirement 3(c)
e. Fields covering Rule 15c2-11 evaluation factors. Specific exceptions, exemptions, and attributes as described in the Rule and No-Action relief shall be provided with yes/no determination indicator flags.
f. Field providing the date as of which the issuer’s latest financial statements were audited (if available)
g. New 15c2-11 data fields, as they become available.
Technical, Use, and Data Delivery Requirements
1. Data delivery via SFTP that provides the data in a structured format in flat text or csv files with the ability to easily move the information into statistical software packages.
2. Daily full file
3. Daily updates file indicating changes from prior day’s full file (additions, modifications, and deletions)
4. Initial historical file, which provides the Rule 15c2-11 data from the product’s inception, as is available
5. The subscription shall support enterprise access for SEC staff for data retrieved and housed on
SEC systems
6. The subscription shall allow the data to be pulled into targeted SEC data systems
7. The subscription shall provide robust privacy safeguards of user activity, including not monitoring or saving queries
8. Reference materials including user guides, data dictionaries, taxonomies, file structures, etc.
shall be provided
File details come from the government source that posted it. Updated .