Attachment 2 Requirements Matrix Checklists and Questionnaire (Financial Data Sources).pdf

SEC Sources Sought Notice: 50310226Q0222

Attachment 2 – Requirements Matrix Checklists & Questionnaire Financial Data Sources subscription

Respondent Name: _____________________________________ (Fill-in your company name)

Instructions: Each respondents to the Sources Sought shall complete this attachment by marking an “X” in the matrix checklists below to verify whether your company’s subscription product currently meets the requirement or does not meet the requirement (note: see Attachment 1 – Draft Requirements List for a full description of each requirement). There must be an “X” marked for each requirement and you may provide additional detail in the comment sections to support your responses. A response is also required for each of the general questions included at the end of this document.

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

Requirement II: Delivered Data Meets

Requirement Does Not Meet Requirement

A. Lipper Hedge Funds

Please provide any comments/supporting detail regarding your company’s ability to meet the data coverage in the checklist above: ___________________________________________________________

Requirement I: Data available via WRDS Meets

Does Not Meet Requirement

A. I/B/E/S Estimates and Guidance

1. I/B/E/S Estimates Data with monthly updates.

2. I/B/E/S U.S. Earnings Consensus Surprise Data with monthly updates.

3. I/B/E/S Consensus Data for use with Standard & Poor’s Compustat service.

4. I/B/E/S Guidance with daily updates.

B. Insider Filing Data C. Mutual Fund Ownership & 13F Ownership

1. Mutual Fund Data

2. 13F Ownership

D. Dealscan

Requirement III: Data Delivered via Platform Meets

Does Not Meet Requirement

A. Financial Transactions Database

1. Equity New Issues

2. Debt New Issues

3. Global Mergers & Acquisitions

4. Global All Municipals

5. Private Equity

B. Financial Time Series & Economic Information Data

1. Historical Global Financial and Economic Information

a) Global Equities

b) Indices

c) Bonds

d) I/B/E/S Current Consensus

e) Economic Indicators

f) Global Foreign Exchange Rates

g) Commodities & Energy

h) Unit and Investment trusts

2. Standardized Financial Statement & Financial Ratio Information

3. Market & Company Data

a) SEC Filings

b) Equity Research Reports

c) Events

d) Company Financial, Ownership & Governance Data

Please provide any comments/supporting detail regarding your company’s ability to meet the data coverage in the checklist above: ___________________________________________________________

Requirement IV: SEC Usage Meets

Does Not Meet Requirement

Please confirm that the SEC’s intended usage described in the draft Requirements List is permissible for your company’s subscription product.

Please provide any comments/supporting detail regarding allowable usage requested by the SEC:

Requirement V: Data Documentation Meets

Does Not Meet Requirement

Please confirm that your company meets the data documentation required by the SEC, including usage reports.

Please provide any comments/supporting detail regarding your company’s ability to meet the data documentation required by the SEC:_____________________________________________

General Questions:

1. Does your company’s subscription product include any Artificial Intelligence (AI) features, or is it anticipated that any AI will be added in the near future? If so, please provide description below:

2. Does your company anticipate any upgrades or enhancements to the subscription product within the next year? If so, please provide description below:

3. Does your company’s subscription product include features that were not covered in the Requirements List that you think are relevant and would be of benefit to the SEC? If so, please provide description below:

End of document