Attachment 2 (Requirements Checklist Matrix).pdf

SEC Combined Synopsis/Solicitation: 50310225Q0065

Attachment 2 – Requirements Checklist Matrix Global Market Pricing data subscription

Offeror Name: __________________________________________________

Instructions: Each Offeror shall complete this attachment by marking an “X” in the checklists below to verify whether your company’s subscription product currently meets the requirement or does not meet the requirement. There must be an “X” marked for each requirement and you may provide additional detail in the comment section to support your responses. This checklist shall be submitted with your company’s written quote submission by the solicitation response deadline.

Please provide any comments/supporting detail regarding your company’s ability to meet the Global Equities data requirements listed in checklist above: ___________________________________

Fixed Income

Meets

Requirement Does Not Meet Requirement

U.S. Treasury U.S. Agency Bonds (e.g. GNMA, FNMA, and FRMC) U.S. Commercial Mortgage-Backed Securities (e.g. CMO and ARMs) U.S. Additional ABS, besides MBS U.S. Corporate (Investment Grade and High Yield) U.S. Municipal Bonds U.S. Convertible Bonds ETNs Foreign Government Bonds Foreign Corporate Bonds Eurobonds

Global Equities

Does Not Meet Requirement

U.S. and Foreign Listed Common Equities U.S. Listed Preferred Equities U.S. OTC/Pink Sheet U.S. Listed ETFs, REITs, UITs and Mutual Funds (Open and Closed) U.S. and Foreign Equity Indices U.S. and Foreign Listed ADRs/GDRs Foreign Listed Equities, ETFs, and Mutual Funds (Open and Closed)

Please provide any comments/supporting detail regarding your company’s ability to meet the Fixed Income data requirements listed in checklist above: ___________________________________

Options

Does Not Meet Requirement

U.S. Index, Fixed Income, and Commodity Futures Global Index, Fixed Income, and Commodity Futures

Please provide any comments/supporting detail regarding your company’s ability to meet the Options data requirements listed in checklist above: ___________________ ________________

Exchange Rates

Does Not Meet Requirement

Daily foreign currency exchange rates to USD. Exchange rates for any given currency on any given date, and query shall support providing New York, London, or Tokyo mid-rate.

Please provide any comments/supporting detail regarding your company’s ability to meet the Exchange Rates data requirements listed in checklist above: ___________________ ______ ____

Required Fields:

Required fields shall be returned, if applicable, depending on security characteristics.

Security Master Fields

Data Field Description Meets

Requirement Does Not Meet Requirement

1 Security Identifier Vendor-generated security identifier that can be used to disambiguate securities. For example, if two securities appear similar (e.g. have identical CUSIP and ISIN) but are nonetheless distinct, they must have different Security Identifiers.

2 CUSIP 9-Digit CUSIP Number.

3 ISIN ISIN 12-charactar alphanumeric.

4 SEDOL SEDOL (with Check Digit).

5 Ticker Symbol Ticker symbol based on primary exchange listing. For securities with primary listing on NYSE, for example, this would be their NYSE ticker and for securities with primary listing on NASDAQ, this would be their NASDAQ ticker.

6 NASDAQ Ticker Symbol

Ticker symbol listed on NASDAQ, where available. This shall be returned for all NASDAQ listings, regardless of whether this is primary listing.

7 NAICS Code North American Industry Classification System code.

8 Security Description Informative description of security.

9 Issuer Expanded issuer name.

10 Issuer Country Primary country associated with the security.

11 Issue Type 1 Issue Type Primary (e.g. Equity, Fixed Income).

12 Issue Type 2 Issue Type Secondary (e.g. ETF, ADR).

13 Exchange Primary exchange where the security is listed.

14 Option Multiplier Number of shares controlled.

15 Currency ISO Code of Primary currency in which the security is traded.

16 Coupon Rate Current rate at which instrument pays coupons.

17 Maturity/Termination Date

Date when instrument matures or terminates.

Required Fields (Continued): Security Market Pricing Fields

Data Field Description Meets

Requirement Does Not Meet Requirement

18 High Price Daily high price (in local currency), according to primary exchange where the security is listed.

19 Open Price Daily open price (in local currency).

20 Low Price Daily low price (in local currency).

21 Close Price Daily close price (in local currency) or Net Asset Value (NAV) if applicable

22 Adjustment Factor Factor to multiply equity prices by to correct for splits, reverse splits, dividends, etc., in order to obtain a number that can be meaningfully compared with prices as of the date when the query is performed.

23 Market Capitalization

Estimate of the total market value (in local currency) of all shares outstanding.

24 Volume Estimate of the total number of securities traded in day.

25 Volume Weighted Average Price

Estimate of the ratio of total value of securities traded to total volume traded for day.

26 Exchange Rate Exchange rate to USD (mid-rate).

NY, London, or Tokyo, per query parameters. Field is only required for exchange rate queries.

27 Short Interest Number of shares sold short but not yet closed.

28 Open Interest Number of outstanding contracts for options or futures that have not settled.

29 Shares Outstanding Number of shares issued, which are held by investors.

30 Market Float Number of shares available for public trading.

31 Call Indicator

A flag indicating if an issue is callable.

32 Next Call Date

Next date when the issue may be called by issuer.

33 Next Call Price

The price at which the issue may be called on the next call date.

34 Coupon Rate

Current rate at which instrument pays coupons.

35 NRSRO Rating Credit quality rating of the issue by a Nationally Recognized Statistical Rating Organization.

Please provide any comments/supporting detail regarding your company’s ability to meet the required fields listed in the checklist above: ________ __________ _______________________

Scope Requirements:

Description Meets

Requirement Does Not Meet Requirement

All Security Master Field and Security Market Pricing data shall be available for at least a ten-year history for all securities that were in the marketplace, with point-in-time identifiers as well as any changes to these identifiers.

The API shall support querying Security Master Fields separately, using any one of the following security identifiers: Ticker Symbol; CUSIP;

SEDOL; or ISIN. For example, if Security Master Field data is queried solely by CUSIP, then response shall include relevant Security Master Field data for security with that CUSIP.

The API shall support querying exchange rate information using solely an ISO currency code and date range, without a security. In response, the API shall return exchange rates for the currency in question on all relevant dates within the queried date range. The API shall enable the user to specify whether they want these exchange rates for the NY, London, or Tokyo mid-rate.

The API shall support querying Security Market Pricing Fields (aside from Currency Rate) using a combination of one security identifier (Ticker Symbol, CUSIP, SEDOL, or ISIN) and a date range.

Vendor shall include N/A or equivalent code, whenever a queried field is not applicable to the query request (e.g. queried security).

The database shall be accessible 24/7/365 by any SEC applications or SEC staff that SEC deems authorized to access the data.

The subscription shall allow the SEC to store the data retrieved from the vendor to, for example, reduce redundant data queries and to improve system performance. In addition, SEC users will be able to store data on local units to support their data analytics.

Description Meets

Does Not Meet Requirement

At a minimum, the vendor shall be able to process query requests from up to 32 concurrent API connections and up to 50GB of total data transmissions per day. API shall be sufficiently performant for this usage level and noted data request parameters (e.g. up to ten years of pricing) to satisfactorily support SEC mission needs.

In additional to API access, SEC staff shall also be provided with a basic graphical user interface (GUI) via which they can query data directly from the vendor’s data store.

The vendor shall provide documentation on how to perform queries and interpret responses for all API query scenarios, including specific instructions for futures and options. The vendor shall also provide documentation on GUI usage.

The vendor shall provide robust privacy safeguards for all queries performed (via API and GUI) and all user activity, including not monitoring or saving queries executed and providing SEC with generic access credentials (i.e. not to include “SEC” or SEC staff names).

The SEC shall be provided an enterprise license, which will allow all SEC staff, contractor personnel and agency applications that require to use and share this data. In addition, licensing shall allow the SEC to use data externally for its mission needs, such as to support legal proceedings.

Please provide any comments/supporting detail regarding your company’s ability to meet the scope requirements in the checklist above. Additionally, please list and describe any access methods in addition to the API that will be available, including but not limited to web sites and Excel plug-ins:

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