ESBD_383483_1732665001423_Attachment A - Public Improvement District (PID) Bond Underwriting Questionnaire.pdf
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- Solicitation number
- RFQ2025-Q03
- Issued by
- Hidalgo County, Texas
About this file
This is a questionnaire attachment for RFQ 2025-Q03 seeking Bond Underwriting Services for Public Improvement District (PID) projects. The document contains 9 detailed questions requiring respondents to provide information about their municipal bond underwriting capabilities, specifically for Texas issuers and PID financings. Firms must demonstrate their experience, capabilities, and track record from January 1, 2021 through December 31, 2023, including details about their sales force, capital positions, prior experience with the County, and successful transactions.
The questionnaire requires firms to provide specific data on their transaction volume and par amounts for both senior manager and co-manager roles in Texas PID issues. Respondents must supply three Texas client references, detail their approach to underwriting balances, describe notable transactions demonstrating their expertise, and disclose any disciplinary actions or litigation by regulatory authorities like MSRB, SEC, and FINRA. The document includes a table format for reporting transaction metrics across 2021-2023, separated by senior manager and co-manager roles.
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RFQ 2025-Q03: Bond Underwriting Services - Public Improvement District (PID) Attachment A: Questionnaire
1. Describe your firm’s municipal sales, trading and underwriting capabilities for Texas issuers, including details of your firm’s institutional and/or retail distribution capabilities as it specifically relates to PIDs. Include the number of municipal bond underwriters, institutional sales force and retail sales force. Provide the location of your firm’s public finance headquarters, Texas public finance offices and the location of the primary underwriting desk for the County’s financing programs.
2. Provide your firm’s current total and net capital positions for the most recent period available. Also provide a statement of how much of the firm’s capital is typically utilized to support municipal sales, trading and underwriting engagements in total and in Texas. Describe the internal approval process required, if any, for your firm to commit its capital to underwrite municipal securities.
3. Provide any prior experience your firm/public finance bankers have had underwriting the County’s bonds and/or submitting financing ideas or updates to the County.
4. Provide three Texas client references comparable to the County for which your firm served as underwriter for PIDs since January 1, 2021. Provide name, title, address, phone number and email address for each reference.
Additionally, indicate your firm’s role in the transaction (i.e. senior manager, co-manager, etc.).
5. Summarize your firm’s underwriting experience as senior manager or co-manager on Texas PID financings from January 1, 2021, through December 31, 2023, for all Texas transactions and for only Texas county transactions.
Number of Transactions Par Amount 2021 2022 2023 2021 2022 2023
Senior Manager – PID Texas Issues
Co-Manager – PID Texas Issues
6. Provide your firm’s approach to underwriting balances at the end of an underwriting period as it relates to PIDs.
7. Describe three Texas transactions in which your firm served as underwriter and successfully demonstrated the following: (i) creative ability, (ii) knowledge and understanding of the Texas municipal financings, (iii) knowledge of municipal market conditions and trends, and (iv) analytical capabilities. Emphasis should be placed on issuers similar to the County.
8. Describe any disciplinary action, investigation or litigation taken against your firm by any federal or state regulatory authorities, including the Municipal Securities Rulemaking Board (“MSRB”), the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”), relating to your firm’s municipal activities since January 1, 2021. Also describe if your firm has been named in a lawsuit with a municipal issuer during this time. A general response will be deemed non-responsive.
9. Describe any other factors pertaining to your firm’s ability to serve as an underwriter that may be relevant to this solicitation.
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