RFP 2026-04 re DCP Prediction Mkts - Gaming w FIRST ADDENDUM.pdf

State of Connecticut

Office of the Attorney General

First Addendum to RFP #2026-04

Request for Proposals for Legal Services

Representation of the Department of Consumer Protection

Regarding Regulatory Issues

Related to

Prediction Markets, Connecticut Gaming Regulations, and

Connecticut Tribal Compacts

September 11, 2026

The Office of the Attorney General (“OAG”) has received the following questions concerning RFP #2026-04. The questions, along with the responses of the OAG, are as follows:

Question 1:

Answer 1:

Question 2:

Answer 2:

If we propose a contingency fee-only arrangement, will that be considered non-responsive?

A contingency fee proposal will not automatically be deemed non-responsive but given that the majority of the services involve providing analysis and legal advice, the proposal will need to indicate how a contingency fee proposal will work in an advisory setting.

In which folder of the Attachments section of our profile on CTSource should we upload Form 1 – License Documents, Certification Documents, or Other Documents?

Please contact DAS help desk for CTSource at (860) 713-5095.

ATTORNEY GENERAL

STATE OF CONNECTICUT

Request for Proposals for Legal Services

RFP # 2026-04

Department of Consumer Protection Regarding Regulatory Issues

Related to Prediction Markets, Connecticut Gaming Regulations and

Connecticut Tribal Compacts

The State of Connecticut, Office of the Attorney General, is seeking proposals to provide certain legal services for the State of Connecticut, Department of Consumer Protection concerning federal and state regulatory issues to prediction markets, Connecticut gaming relations, and Connecticut tribal compacts.

PROPOSALS MUST RECEIVED NO LATER THAN

SEPTEMBER 18, 2026, at 4:30p.m. local time, as detailed in the

Request for Proposals.

This Request for Proposals is available online at https://portal.ct.gov/AG/RFPs.

WILLIAM TONG, Attorney General

TABLE OF CONTENTS

OVERVIEW 3

SELECTION CRITERIA 5

INSTRUCTIONS TO PROPOSERS 6

APPENDIX A – DRAFT PROFESSIONAL SERVICES AGREEMENT 16

REQUEST FOR

PROPOSALS BY

THE STATE OF CONNECTICUT

OFFICE OF THE ATTORNEY

GENERAL

Department of Consumer Protection Regarding Regulatory Issues

Related to Prediction Markets, Connecticut Gaming Regulations and

Connecticut Tribal Compacts

RFP# 2026-04

The State of Connecticut, Office of the Attorney General (“OAG”), is seeking proposals to provide certain legal services for the State of Connecticut, Department of Consumer Protection (“DCP”) (jointly, “the Clients”) concerning federal and state regulatory issues to prediction markets, Connecticut gaming relations, and Connecticut tribal compacts.

SCOPE OF SERVICES

The Attorney General of Connecticut, pursuant to Conn. Gen. Stat. § 3-125, invites proposals from appropriately qualified firms to provide legal counsel to DCP with respect to federal and state regulatory issues related to prediction markets, Connecticut gaming regulations, and Connecticut tribal compacts.

The services to be performed by the CONTRACTOR shall consist of the following, collectively referred to as “Services:”

(a) Provide legal advice on the interplay between federal statutes, regulations and policies regarding prediction markets and commodity exchanges with Connecticut statutes, regulations, and tribal compacts;

(b) Provide legal advice on exclusivity of existing tribal compacts and potential impacts of prediction markets and commodity exchanges on Connecticut’s ability to comply with tribal compact obligations;

(c) Evaluate whether the tribes could operate their own commodity exchange and offer prediction market platforms on said exchange;

(d) Evaluate and advise on any potential policy, regulatory, or statutory changes to federal law related to prediction markets and commodities regulation;

(e) Provide legal advice on Connecticut licensed gaming operators and compliance with Conn. Gen. Stat. §12-862 for their out-of-state activities involving prediction markets;

(f) Advise on whether the Clients should pursue future administrative or criminal actions pursuant to DCP’s statutory authority against other prediction market platforms not currently involved in pending litigation;

(g) Provide the Clients with legal advice on pursing legislation and regulations concerning prediction market operation.

(h) Analyze whether Connecticut should comment on future CFTC rulemaking concerning prediction markets;

(i) Upon written request of the OAG, provide support and/or advice on any potential or pending litigation;

(j) Perform all necessary and reasonably related assignments and tasks as directed by either Client;

(k) Be available upon the reasonable request of either Client to consult with DCP, OAG, and staff;

(l) Conduct review, analysis, investigation, and research;

(m) Prepare, write and provide to the Clients documents and instruments, in electronic, magnetic, paper and any other form as necessary;

(n) Perform all tasks under this Agreement in coordination with the Clients;

(o) Provide all necessary paralegal and clerical support to carry out said Services;

(p) Hire and consult with subcontractors, including expert witnesses, consultants, mediators and investigators, as may be necessary and as approved in writing in advance by DCP or their designee and OAG subject to the following requirements and limitations:

a. Terms of subcontracts over five thousand dollars ($5,000.00) must be approved in writing and in advance by OAG. In requesting approval, the firm must include the following information:

(i) Why it is necessary to hire a subcontractor,

(ii) How the proposed subcontractor was selected,

(iii) Proposed rates and reimbursements for the subcontractor, and

(iv) Comparison of these rates to those of other qualified

Subcontractors

b. Subcontracts or agreements must include terms which are substantially similar to the billing terms in the Compensation and Reimbursement Section of this Agreement; and

c. The firm’s bills for subcontracted work must include full detailed itemizations of all fees and expenses for the subcontracted work, with appropriate supporting documentation; and

(q) Perform all tasks under this Agreement in coordination with DCP and the

ATTORNEY GENERAL.

TERM AND AMOUNT OF CONTRACT

Contracts awarded pursuant to this RFP will have a term of three (3) years, unless otherwise amended.

The total value of contracts awarded pursuant to this RFP for DCP related services shall not exceed Five Hundred Thousand dollars ($500,000.00).

Any extensions will be only by written amendment to the original Professional Services Agreement (hereinafter referred to as “Contract” or “Agreement”). These awards are not necessarily exclusive. The OAG reserves the right during the terms of these contracts to solicit and request additional proposals for legal services in the same or other areas of practice.

Proposals must be received by the OAG no later than September 18, 2026, at 4:30 p.m., Eastern Time.

An evaluation committee will evaluate the proposals in accordance with the selection criteria set forth in this RFP, which explains other terms and requirements. The selected firm(s) must enter into a contract with the OAG, substantially in the form of the draft contract set out in Appendix A. The OAG encourages minority, women, and veteran owned firms to apply.

All communication with the OAG must be undertaken only as specified in this RFP.

SELECTION CRITERIA

The evaluation committee will evaluate firms on the basis of their written responses to this RFP, additional written information that may be requested by the OAG and, possibly, oral interviews. The goal of the evaluation will be to select the firm or firms which provide(s) the best combination of qualifications, relevant experience and cost.

The evaluation committee will also consider the following non-exclusive factors in making its determination:

• Depth and quality of experience in federal derivatives and commodities law and experience in litigating Commodity Futures Trading Commission (“CFTC”)-related issues;

• Depth and quality of experience and knowledge in gaming laws;

• Qualifications of personnel, including the experience and availability of the lead attorney(s) and the breadth and depth of experience of other partners, associates and other professionals available to provide the requested services to the State;

• Demonstrated ability to work closely and cooperatively with clients in meetings and negotiation sessions;

• Equal employment opportunity record as evidenced by the composition of firm personnel and the firm’s affirmative action and equal employment opportunity policies and practices;

• Record of compliance with all applicable ethical rules and rules of professional conduct;

• The proposing firm will not be considered to have an irreconcilable conflict of interest because the firm or attorneys associated with the firm have in the past brought or are currently bringing litigation against the State of Connecticut, whether in court, mediation or arbitration, so long as that litigation does not concern the firm’s involvement in matters related to the subject of this RFP or to DCP and adverse to the State. All potential conflicts with the State of Connecticut must be fully described and discussed in the proposal.

INSTRUCTIONS TO PROPOSERS

I. Proposals Schedule

Release of RFP: August 26, 2026 Proposals Due: September 18, 2026

From the date the OAG issues this RFP until the date that it awards the contract to the successful proposer, interested parties should not contact any employee of the State of Connecticut for additional information concerning this RFP, except in writing directed only to Eileen Meskill, Deputy Attorney General, via email at Eileen.Meskill@ct.gov with a copy to Nicole Hart, Paralegal Specialist at Nicole.Hart@ct.gov. Parties should submit questions no later than September 4, 2026. Answers will be posted by September 11, 2026. Late questions may not receive answers. The OAG will answer questions only in the form of one or more addenda to this RFP posted on its website, at https://portal.ct.gov/AG/RFPs.

Proposers have the responsibility to review that location for any addenda to this RFP. For technical questions only, concerning issues or problems with access to or downloading of this RFP and associated information from the website, proposers may contact Muhannad Alsaqri, OAG IT Manager, by e-mail at Muhannad.Alsaqri@ct.gov.

II. Sealed Proposals

Proposers must submit a copy of their proposal electronically to person(s) below, arriving no later than September 18, 2026 at 4:30 p.m. Eastern Time. Proposals received after that time may not be accepted. All proposals and other communications with the State regarding this RFP must be submitted in writing and must clearly identify this RFP.

Email to Eileen Meskill, Deputy Attorney General, at Eileen.Meskill@ct.gov with a copy to Nicole Hart, Paralegal Specialist at Nicole.Hart@ct.gov

Subject: Proposal to RFP # 2026-04: Representation of DCP re: Prediction Markets/Gaming mailto:Eileen.Meskill@ct.gov mailto:Nicole.Hart@ct.gov https://portal.ct.gov/AG/RFPs mailto:Muhannad.Alsaqri@ct.gov mailto:Nicole.Hart@ct.gov

III. Submission of Proposals

(a) To be considered, all submissions must include the following:

(1) All information and documents requested by the RFP;

(2) A statement affirming specifically all representations and warranties set forth in Section XII (Independent Price Determinations) and Section XIII (Offer of Gratuities), below;

(3) All documents must be submitted in a format compatible with Microsoft Word, current version, and affording the user the capability of searching its contents; except that the signature pages and required or necessary forms not conveniently available in Microsoft Word may be provided in PDF format;

(A) The RFP requires submission by email with attachments to Eileen.Meskill@ct.gov and to Nicole.Hart@ct.gov. Emails must be less than 35MB. Electronic submissions must still comply with all other requirements, including the requirements that “all documents must be submitted in a format compatible with Microsoft Word, current version, and affording the user the capability of searching its contents; except that the signature pages and required or necessary forms not conveniently available in Microsoft Word may be provided in PDF format.”

(B) Confirmation that an account has been created in the Connecticut Department of Administrative Services (“DAS”) CTSource (“CTSource”) system showing that all required forms have been completed and uploaded. The form required is Form 1 (Gift and Campaign Contribution Certificate). Copies of these completed forms do not need to be submitted with your proposal, however, they do need to be uploaded to your CTSource account.

Any proposer that does not make the certifications required may be disqualified. Information regarding the DAS CTSource system and required documents can be found on DAS’s website at https://portal.ct.gov/das/procurement-programs-and-services?language=en_US Form 1 (Gift and Campaign Contribution) can be found at Form 1.

DAS’s help desk for CTSource related questions is (860) 713-5095.

(b) Concise answers are encouraged. Responses should be prepared on the electronic version of 8.5 x 11-inch paper using at least 12-point type with standard margins.

mailto:Nicole.Hart@ct.gov https://portal.ct.gov/das/procurement-programs-and-services?language=en_US https://portal.ct.gov/das/procurement-programs-and-services?language=en_US https://portal.ct.gov/-/media/opm/fin-general/opm-form1-campaigncontributioncertification-8-18-final.pdf

(c) The submission of proposals shall constitute, without any further act required of the proposers, DCP or the OAG, acceptance of the requirements, administrative stipulations and all of the terms and conditions of this RFP.

Proposals must reflect compliance with such requirements. Failure of the proposal to so comply may result in the OAG’s rejection of the proposal. The OAG will reject any proposal that deviates materially from the specifications, terms or conditions of this RFP. Proposers submitting proposals with any minor or immaterial deviations must identify and fully justify such deviations in order for the OAG to consider their proposal.

(d) No additions or changes to any proposal will be allowed after the proposal due date, unless the OAG specifically requests such modification. The OAG may, at his option, seek proposer retraction and/or clarification of any discrepancy or contradiction found during the review of proposals.

(e) Information Required in the Proposal:

(1) Name the primary individuals who would work with the State, and explain their experience, relevant background and anticipated duties.

Include brief resumes for each.

(2) Explain the firm’s qualifications in light of the stated criteria detailed above.

(3) Disclose any past or present assignments, relationships or other employment that your firm or any employee of your firm has or has had that may create a conflict of interest or the appearance of a conflict of interest in serving as counsel for the State in this matter.

(4) If you find any term or provision of the proposed draft contract in Appendix A unacceptable, identify the term, explain why it is unacceptable, and state whether failure to modify this term would result in your firm’s failure to execute a contract in this matter.

(5) Discuss any pending complaints or investigations, or any made or concluded within the past five (5) years, to or by any regulatory body or court regarding the conduct of your firm or its predecessors, or any of its present or former attorneys or employees.

(6) Discuss the extent to which your workforce, at the attorney level, at the other professional staff level, and at the other support staff level, reflects or does not reflect the diversity of your community and its surrounding area. To the extent that your workforce does not fully reflect the diversity of your community, discuss and explain the action, if any, you have taken and are taking to achieve staffing that is more reflective of the diversity of your community and the results of those efforts.

(7) Provide names and contact information of three (3) client references for whom you have performed services reasonably comparable to those sought in this RFP.

(8) Include detailed and specific fee proposal. You must include a fee proposal with specific hourly rates for each category or person who will work on the assignment, including paralegals, but excluding clerical staff, whose time may not be billed. Also, include a list and description of any alternative fee arrangements your firm offers that would or could be applicable to some or all of the work for this RFP.

(9) State whether your firm owns or operates, or participates in the ownership or operation of, any business entity, affiliate, subsidiary or the like which provides lobbying or any other products or services. If so, state whether that related business entity is a vendor of DCP or has the potential to become a vendor and explain.

(10) Fees.

(A) Hourly Fees. Include a detailed and specific fee proposal. You must include a fee proposal with specific hourly rates both for the specific personnel and for each category of person who will work on the assignment (excluding clerical staff, whose time may not be billed). Firms responding to this RFP should be aware that the draft contract does not permit reimbursement for any overhead-related expenses including, but not limited to, photocopying, secretarial work, facsimiles, clerical staff, library staff, proofreading, elementary legal research, electronic research portal charges, meals or in-State transportation or other costs.

(B) Small Business Express. Include a flat rate per transaction fee proposal for preparation and review of transactional documents and related legal services for grants or loans under Small Business Express Program. Also, include, as an alternative, hourly rates for services related to this program.

(c) Stability of Proposed Fees: Any fee proposals must be valid for the entire duration of the Contract.

(f) Conformity and Completeness of Proposals. To be considered acceptable, proposals must be complete and conform to all material RFP instructions and conditions. The OAG, in its sole discretion, may reject in whole or in part any proposal if in its judgment the best interests of the State will be served.

IV. Amendment or Cancellation of this RFP

The OAG reserves the right to cancel, amend, modify or otherwise change this RFP at any time if it deems it to be in the best interest of the State to do so.

VI. Presentation of Supporting Evidence

Proposers must be prepared to provide evidence of experience, performance, ability, financial resources or other factors as the OAG deems to be necessary or appropriate concerning the performance capabilities represented in their proposals.

VII. Misrepresentation or Default

The OAG may reject the proposal and void any award resulting from this RFP to a firm which makes any material misrepresentation in its proposal or other submittal in connection with this RFP.

VIII. Errors

The OAG reserves the right to correct clerical or administrative errors that may be made during the evaluation of proposals or during the negotiation of the contract and to change the contract award accordingly. In addition, the OAG reserves the right to re-evaluate proposals and the award of the contract in light of information either not previously known or otherwise not properly having been taken into account prior to contract award. In any case, this may include, in extreme circumstances, revoking the awarding of the contract already made to a firm and subsequently awarding the contract to another firm.

Such action on the part of the OAG shall not constitute a breach of contract on the part of the OAG since the contract with the initial firm would be deemed void and of no effect as if no contract ever existed between the OAG and such firm.

The OAG may waive minor irregularities found in proposals or allow the proposer to correct them, depending on which is in the best interest of the state. “Minor irregularities” means typographical errors, informalities that are matters of form rather than substance and evident from the proposal itself, and insignificant mistakes that can be waived or corrected without prejudice to other proposers, as determined in the discretion of the OAG.

IX. Ownership of Proposals

All proposals shall become the sole property of the State and will not be returned.

X. Execution of Contract

(a) This RFP is not a contract and, alone, shall not be interpreted as such. Rather, this RFP only serves as the instrument through which proposals will be solicited. Once the evaluation of the proposals is complete and a firm or firms are selected, the selected proposal and this RFP may then serve as the basis for the Contract(s) that will be negotiated and executed between the OAG and the selected firm(s). If the OAG and the initial selected firm(s) fail to reach agreement on all issues relative to the Contract within a time determined solely by the OAG, then the OAG may commence and conclude contract negotiations with other proposers. The OAG may decide at any time to postpone or restart this RFP process.

(b) Section 4-252 of the Connecticut General Statutes requires that this RFP include a notice of the certification requirements for large state contracts described in this statute. Accordingly, pursuant to this statute, firms are notified as follows:

(1) The terms “gift,” “quasi-public agency,” “state agency,” “large state contract,” “principals and key personnel” and “participated substantially” as used in this Section X(b) shall have the meanings set forth in this statute.

(2) No state agency or quasi-public agency shall execute a large state contract unless the state agency or quasi-public agency obtains the written certifications described in this Section X(b). Each such certification shall be sworn as true to the best knowledge and belief of the person signing the certification, subject to the penalties of false statement.

(3) The official of the person, firm or corporation awarded the contract, who is authorized to execute the contract, shall certify on such forms as the State shall provide:

(A) That no gifts were made between the date that the state agency or quasi-public agency began planning the project, services, procurement, lease or licensing arrangement covered by the contract and the date of execution of the contract, by (i) such person, firm, corporation, (ii) any principals and key personnel of the person, firm or corporation, who participated substantially in preparing the bid or proposal or the negotiation of the contract, or (iii) any agent of such person, firm, corporation or principals and key personnel, who participated substantially in preparing the bid or proposal or the negotiation of the contract, to (I) any public official or state employee of the state agency or quasi-public agency soliciting bids or proposals for the contract, who participated substantially in the preparation of the bid solicitation or request for proposals for the contract or the negotiation or award of the contract, or (II) any public official or state employee of any other state agency, who has supervisory or appointing authority over such state agency or quasi-public agency;

(B) That no such principals and key personnel of the person, firm or corporation, or agent of such person, firm or corporation or principals and key personnel, knows of any action by the person, firm or corporation to circumvent such prohibition on gifts by providing for any other principals and key personnel, official, employee or agent of the person, firm or corporation to provide a gift to any such public official or state employee; and

(C) That the person, firm or corporation made the bid or proposal without fraud or collusion with any person.

(4) This Section IX(b) is set forth here only for purposes of providing notice of the requirements of Conn. Gen. Stat. § 4-252. Accordingly, it is neither intended nor should it be interpreted or relied upon to be a complete and full reiteration of the statute’s contents. Any interpretation or understanding of the statute’s requirements or content by any party must come only from reading the full text of the statute itself.

Section 4a-81 of the Connecticut General Statutes requires that this RFP include a notice of the consulting representation requirements described in the statute. Accordingly, pursuant to the statute, vendors are notified as follows:

(5) No state agency shall execute a contract for the purchase of goods or services, which contract has a total value to the state of fifty thousand dollars or more in any calendar or fiscal year, unless the state agency obtains the written affidavit described in subsection (2) of this section.

(6) Each contract described in Section (1) above shall include a representation whether any consulting agreement has been entered into in connection with such contract. Such representation shall be required if any duties of the consultant included communications concerning business of such state agency, whether or not direct contact with a state agency, state or public official or state employee was expected or made.

“Consulting agreement” means any written or oral agreement to retain the services, for a fee, of a consultant for the purposes of (i) providing counsel to a contractor, vendor, consultant or other entity seeking to conduct, or conducting, business with the State, (ii) contacting, whether in writing or orally, any executive, judicial, or administrative office of the state, including any department, institution, bureau, board, commission, authority, official or employee for the purpose of solicitation, dispute resolution, introduction or requests for information or (iii) any other similar activity related to such contract. “Consulting agreement” does not include any agreements entered into with a consultant who is registered under the provisions of Chapter 10 of the Connecticut General Statutes concerning the State’s Codes of Ethics, as of the date such contract is executed.

(7) Such representation shall be made to the best knowledge and belief of the person signing the contract and shall be subject to the penalties of false statement as provided in Section 53a-157b of the Connecticut General Statutes.

(8) If such representation indicates that a consulting agreement has been entered into in connection with any such contract, such representation shall include or attach the following information for each consulting agreement listed: the name of the consultant, the consultant’s firm, the basic terms of the consulting agreement, a brief description of the services provided, and an indication as to whether the consultant is a former state employee or public official. If the consultant is a former state employee or public official, such affidavit shall indicate his or her former agency and the date such employment terminated.

(9) This Section IX(c) is set forth here only for purposes of providing notice of the requirements of the Conn. Gen. Stat. § 4a-81. Accordingly, it is neither intended nor should it be interpreted or relied upon to be a complete and full reiteration of the statute’s contents. Any interpretation or understanding of the statute’s requirements or content by any party must come only from reading the full text of the statute itself.

(c) Pursuant to Conn. Gen. Stat. §§ 4a-60(c)(1) and 4a-60a(c)(1), as amended, every contract with a contractor who has one or more contracts with an awarding agency or is a party to a municipal public works contract or a contract for a quasi-public agency project shall include a nondiscrimination affirmation provision certifying that the contractor understands the obligations of Conn.

Gen. Stat. §§ 4a-60 and 4a-60a and will maintain a policy for the duration of the contract to assure that the contract will be performed in compliance with the nondiscrimination requirements of those sections. The authorized signatory of the contract shall demonstrate his or her understanding of this obligation by (A) initialing the nondiscrimination affirmation provision in the body of the contract,

(B) providing an affirmative response in the required online bid or response to a proposal question which asks if the contractor understands its obligations, or

(C) signing the contract.

XI. Oral Agreement or Arrangements Any alleged oral agreements or arrangements made by firms with any State agency or employee will be disregarded in any State proposal evaluation or associated award.

XII. Independent Price Determinations In the proposals, firms must warrant, represent, and certify that the following requirements have been met in connection with this RFP:

(a) The fees and costs proposed have been arrived at independently, without consultation, communication, or agreement for the purpose of restricting competition as to any matter relating to such process with any other organization or with any competitor.

(b) Unless otherwise required by law, the fees and costs quoted have not been knowingly disclosed by the firm prior to the deadline for submission of proposals directly or indirectly to any other organization or to any competitor; and

(c) No attempt has been made, or will be made, by the firm to induce any other person or firm to submit or not to submit a proposal for the purpose of restricting competition.

XIII. Offer of Gratuities

In the proposals, firms must represent that no elected or appointed official or employee of the State of Connecticut has, or will, benefit financially or materially from the Contract.

The Contract may be terminated by the OAG if it is determined that gratuities of any kind were either offered to, or received by, any of state officials or employees from the firm, the law firm’s agent(s), representatives(s) or employees(s). Such action by the OAG shall not constitute a breach of contract on the part of the OAG.

XIV. Subletting or Assigning of Contract

The Contract or any portion thereof, or the work provided for therein, or the right, title, or interest of the firm therein or thereto may not be sublet, sold, transferred, assigned or otherwise disposed of to any person or entity without the prior written consent of the OAG.

No person or entity, other than the firm to which the contract was awarded, is permitted to perform work pursuant to the Contract without the prior written approval of the OAG.

XV. Freedom of Information

The OAG is a public agency and its records, including responses to this RFP, are public records. See Conn. Gen. Stat. §§ 1-200, et seq., and especially § 1 210(b)(4) and § 1 210(b)(5)(B). Due regard will be given for the protection of proprietary or confidential information contained in all proposals received. However, all materials associated with this RFP are subject to the terms of the Connecticut Freedom of Information Act (“FOIA”) and all applicable rules, regulations and administrative decisions. If a firm is interested in preserving the confidentiality of any part of its proposal, it will not be sufficient merely to state generally in the proposal that the proposal is proprietary or confidential in nature and not, therefore, subject to release to third parties. Instead, those particular sentences, paragraphs, pages or sections that a firm believes to be exempt from disclosure under the FOIA must be specifically identified as such. Convincing explanation and rationale sufficient to justify each exemption consistent with § 1-210(b) of the FOIA must accompany the proposal. The rationale and explanation must be stated in terms of the reasons the materials are legally exempt from release pursuant to the FOIA. Firms should not request that their entire proposal, nor the majority of the proposal, be confidential. Any submitted proposal, once execution of a contract is complete, and any completed contract will be considered public information. The OAG has no obligation to initiate, prosecute or defend any legal proceeding or to seek a protective order or other similar relief to prevent disclosure of any information that is sought pursuant to a FOIA request. The firm has the burden of establishing the availability of any FOIA exemption in any proceeding where it is an issue. In no event shall the OAG have any liability for the disclosure of any documents or information in its possession which the OAG believes are required to be disclosed pursuant to the FOIA or other requirements of law.

XVI. Conformance with Federal, State and Other Requirements

In the Contract, the firm will represent and warrant that, at all pertinent and relevant times to the contract, it has been, is and will continue to be in full compliance with all Federal, State, municipal or other governmental department, commission, board, bureau, agency or instrumentality codes, statutes, acts, ordinances, judgments, decrees, injunctions and regulations.

XVII. Executive Orders and Other Enactments

(a) All references in the Contract to any Federal, State, or local law, statute, public or special act, executive order, ordinance, regulation or code (collectively, “Enactments”) shall mean Enactments that apply to the Contract at any time during its term, or that may be made applicable to the Contract during its term.

The Contract shall always be read and interpreted in accordance with the latest applicable wording and requirements of the Enactments. Unless otherwise provided by Enactments, the Contractor will not be relieved of its obligation to perform under the Contract if it chooses to contest the applicability of the Enactments or the OAG’s authority to require compliance with the Enactments.

(b) The Contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill, promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of Governor Thomas J.

Meskill, promulgated February 15, 1973, concerning the listing of employment openings and Executive Order No. Sixteen of Governor John G. Rowland promulgated August 4, 1999, concerning violence in the workplace, all of which will be incorporated into and made a part of the Contract as if they had been fully set forth in it.

(c) The Contract may be subject to (1) Executive Order No. 14 of Governor M. Jodi Rell, promulgated April 17, 2006, concerning procurement of cleaning products and services; and (2) Executive Order No. 61 of Governor Dannel P. Malloy promulgated December 13, 2017 concerning the Policy for the Management of State Information Technology Projects, as issued by the Office of Policy and Management, Policy ID IT-SDLC-17-04. If any of the Executive Orders referenced in this subsection is applicable, it will be deemed to be incorporated into and made a part of the Contract as if fully set forth in it.

XVIII. Americans with Disabilities Act

The firm(s) to which contracts are awarded shall comply with the Americans with Disabilities Act and any other applicable federal laws and regulations.

XIX. Affirmative Action and Contract Compliance Reporting

Firms are advised that in addition to evaluating their qualifications, experience, capabilities, competitiveness of cost and conformance to this RFP specification, weight may also be given to firms which demonstrate a commitment to affirmative action by full compliance with the CHRO regulations.

XX. Campaign Contribution and Solicitation Ban

For all State contracts, defined in section 9-612 of the Connecticut General Statutes as having a value of $50,000 or more, or a combination or series of such agreements or contracts having a value of $100,000 or more in a calendar year, the authorized signatory to the contract shall represent that they have received the State Elections Enforcement Commission’s notice advising state contractors of state campaign contribution and solicitation prohibitions, and will inform its principals of the contents of the notice

APPENDIX A

TO REQUEST FOR PROPOSALS # 2026-04

PROFESSIONAL SERVICES AGREEMENT

BETWEEN THE STATE OF CONNECTICUT,

ACTING BY ITS ATTORNEY GENERAL,

AND

This Agreement is made by and between the STATE OF CONNECTICUT, acting by its ATTORNEY GENERAL, William Tong, duly authorized pursuant to Section 3-125 of the Connecticut General Statutes, with an office at 165 Capitol Avenue, Hartford, CT 06106 and , acting by , with its principal place of business at (hereinafter referred to as the “CONTRACTOR”).

The parties agree as follows:

SECTION 1: SCOPE OF SERVICES

The services to be performed by the CONTRACTOR shall consist of the following, collectively referred to as “Services:”

(a) Provide legal advice on the interplay between federal statutes, regulations and policies regarding prediction markets and commodity exchanges with Connecticut statutes, regulations, and tribal compacts;

(b) Provide legal advice on exclusivity of existing tribal compacts and potential impacts of prediction markets and commodity exchanges on Connecticut’s ability to comply with tribal compact obligations;

(c) Evaluate whether the tribes could operate their own commodity exchange and offer prediction market platforms on said exchange;

(d) Evaluate and advise on any potential policy, regulatory, or statutory changes to federal law related to prediction markets and commodities regulation;

(e) Provide legal advice on Connecticut licensed gaming operators and compliance with Conn. Gen. Stat. §12-862 for their out-of-state activities involving prediction markets;

(f) Advise on whether the Clients should pursue future administrative or criminal actions pursuant to DCP’s statutory authority against other prediction market platforms not currently involved in pending litigation;

(g) Provide the Clients with legal advice on pursing legislation and regulations concerning prediction market operation.

(h) Analyze whether Connecticut should comment on future CFTC rulemaking concerning prediction markets;

(i) Upon written request of OAG, provide support and/or advice on any potential or pending litigation;

(j) Perform all necessary and reasonably related assignments and tasks as directed by either Client;

(k) Be available upon the reasonable request of either Client to consult with DCP, OAG, and staff;

(l) Conduct review, analysis, investigation, and research;

(m) Prepare, write and provide to the Clients documents and instruments, in electronic, magnetic, paper and any other form as necessary;

(n) Perform all tasks under this Agreement in coordination with the Clients; and

(o) Provide all necessary paralegal and clerical support to carry out said Services.

(p) Hire and consult with subcontractors, including expert witnesses, consultants, mediators and investigators, as may be necessary and as approved in writing in advance by DCP or their designee and the ATTORNEY GENERAL subject to the following requirements and limitations:

a. Terms of subcontracts over five thousand dollars ($5,000.00) must be approved in writing and in advance by OAG. In requesting approval, the firm must include the following information:

(i) Why it is necessary to hire a subcontractor,

(ii) How the proposed subcontractor was selected,

(iii) Proposed rates and reimbursements for the subcontractor, and

(iv) Comparison of these rates to those of other qualified

Subcontractors

b. Subcontracts or agreements must include terms which are substantially similar to the billing terms in the Compensation and Reimbursement Section of this Agreement; and

c. The firm’s bills for subcontracted work must include full detailed itemizations of all fees and expenses for the subcontracted work, with appropriate supporting documentation;

(q) Perform all tasks under this Agreement in coordination with DCP and the ATTORNEY

GENERAL.

SECTION 2: AGREEMENT ADMINISTRATION

2.1 The person in charge of administering this Agreement on behalf of the ATTORNEY GENERAL is Michael Wertheimer, Deputy Associate Attorney General, and her successors in office, whose contact information is as follows:

Office of the Attorney General 165 Capitol Avenue Hartford, CT 06106 Telephone: (860) 808-5400 Email: Michael.Wertheimer@ct.gov

2.2 The person in charge of administering this Agreement on behalf of DCP is Caitlin Anderson, Chief of Legal and Regulatory Affairs and her successors in office, whose contact information is as follows:

Connecticut Consumer Protection 450 Columbus Blvd., Suite 901 Hartford, CT 06103 Telephone: (860) 713-6064 Email: Caitlin.Anderson@ct.gov

2.3 The person in charge of administering this Agreement on behalf of the CONTRACTOR is: , whose contact information is as follows:

Telephone:

Email:

2.4 The professional staff members of the CONTRACTOR primarily responsible for the performance of this Agreement are . The CONTRACTOR may not change these individuals without the prior written consent of the ATTORNEY

GENERAL.

2.5 Within seven (7) days after receiving a request by the ATTORNEY GENERAL, the CONTRACTOR shall remove from assignment to this Agreement any specified professional or other staff member and, at the ATTORNEY GENERAL’S request, shall augment the remaining staff with such other staff member(s) as is acceptable to the ATTORNEY GENERAL.

SECTION 3: COMPENSATION AND REIMBURSEMENT

3.1 (a) The ATTORNEY GENERAL agrees to compensate the CONTRACTOR for Services in accordance with the following hourly rate schedule:

Partners _ Associates Paralegals mailto:Michael.Wertheimer@ct.gov mailto:Caitlin.Anderson@ct.gov

3.2 The above hourly rates shall be charged only for actual time spent rendering such Services; the CONTRACTOR shall not “round off” time. The time spent rendering Services shall be billed to the tenth of an hour within any single workday. DCP shall not be charged for any other time expended by the CONTRACTOR during travel, overnight stays, or the like associated with the performance of the Services.

3.3 Compensation will be paid only after the submission of itemized documentation, in a form acceptable to the ATTORNEY GENERAL. Billings are to be on a monthly basis.

The billings must contain, at a minimum, a detailed description of the work performed, the date of performance, the actual time spent performing the work, the name and position of the person(s) rendering the Service and the rate charged for that Service.

The monthly bill must also be accompanied by a summary of time and charges billed for each attorney and paralegal itemized on the invoice. Upon the request of the ATTORNEY GENERAL or DCP, CONTRACTOR must submit a summary memorandum describing how the Service rendered furthered resolution of the matter and the current status of the matter. The ATTORNEY GENERAL may, prior to authorizing payment under this Section, require the CONTRACTOR to submit such additional accounting and information as he deems to be necessary or appropriate.

The CONTRACTOR shall not be compensated for any time spent preparing any billing documentation, including but not limited to such documentation and accompanying memoranda required by this Section and the Status Reports and Records Section of this Agreement. All bills must be sent electronically to State of Connecticut, Office of the Attorney General, Business Office Technology Commercialization Services, to ag.businessoffice@ct.gov

3.4 For services rendered relating to grants and loans, CONTRACTOR will be compensated by the recipient of such grant and/or loan unless DCP specifies otherwise in writing at the time of the assignment. In the event that CONTRACTOR’s compensation for Services is not collectible from the recipient of such grant and/or loan, DCP shall compensate CONTRACTOR for services rendered relating to such grant and/or loan.

3.5. For all other Services, DCP will fund the compensation of CONTRACTOR.

3.6 DCP agrees to reimburse the CONTRACTOR for actual, necessary and reasonable out-of-pocket disbursements and expenses, including filing fees, court costs, computerized research (at cost), commercial messenger and delivery services (at cost), expert witnesses, consultants, mediators, investigative services, long distance telephone calls, and transcript or deposition costs. DCP shall not reimburse the CONTRACTOR for any overhead-related expenses, including, but not limited to, duplicating, secretarial, facsimile (other than long-distance telephone line charges), clerical staff, library staff, proofreading staff, meals and in-state transportation costs or expenses unless they are otherwise approved by DCP.

3.7 The CONTRACTOR shall not be compensated for time spent on background or elementary legal research or any legal training without the prior written consent of the ATTORNEY GENERAL. Charges for legal research must be accompanied by a detailed description setting forth the purpose of the research and summarizing its nature. Any written material produced as a result of such research shall be available to the ATTORNEY GENERAL or DCP on or before the third business day following the date of his written request. The ATTORNEY GENERAL shall have the final mailto:ag.businessoffice@ct.gov decision in all disputes between the parties to this Agreement under this subsection.

3.8 The CONTRACTOR shall not be compensated for time spent in consultation with any attorney or other employee of the ATTORNEY GENERAL or DCP concerning the administration of this Agreement and/or issues relating to billing. Unless otherwise authorized by DCP, compensation for communication between or among attorneys and/or staff within the CONTRACTOR’S firm is limited to the time and billing rate of the most senior attorney or staff member participating in the communication. These charges must be accompanied by a detailed description setting forth the purpose of the communication and summarizing its details. The ATTORNEY GENERAL and DCP, shall make the final determination, in their sole discretion, as to the adequacy of such description.

3.9 Absent the consent of DCP, the CONTRACTOR shall not be compensated for the attendance or participation of more than one attorney representing the State of Connecticut at or during any meeting, conference or proceeding, in person or otherwise, in any forum, in connection with performing the Services. Where more than one attorney has attended or participated in any such meeting, conference or proceeding without the consent of DCP, the CONTRACTOR shall be compensated only for the time of the most senior attorney in attendance or participating.

3.10 The CONTRACTOR shall not be compensated for the performance of paralegal or clerical type duties performed by an attorney. Paralegal duties or clerical duties include, by way of example and not limitation, routine proofreading of pleadings and other correspondence, preparation of trial or closing binders or notebooks, photocopying and coordinating the schedules of others.

3.11 DCP shall approve for payment all undisputed fees and costs, as soon as the documentation can properly be processed in accordance with usual State practice.

Maximum payments under this Agreement shall not exceed Five Hundred Thousand dollars ($500,000.00).

3.12 The ATTORNEY GENERAL shall have the right, without the need of prior notice to the CONTRACTOR, to assign the performance of some aspect of the Services to an Associate or Assistant Attorney General where the ATTORNEY GENERAL, in his sole discretion, finds that such an assignment would best serve the interests of the State of Connecticut. This assignment shall not be deemed to be a breach of contract by the ATTORNEY GENERAL.

3.13 Compensation and reimbursement provided under this Section constitutes full and complete payment for all costs and expenses incurred or assumed by the CONTRACTOR in performing this Agreement. No other costs, expenses or overhead items shall be reimbursed by DCP without the prior written approval of DCP and/or the ATTORNEY GENERAL.

3.14 CONTRACTOR shall notify the ATTORNEY GENERAL and DCP promptly when total billing is within fifteen percent (15%) of the contract maximum. CONTRACTOR agrees that any billable work shall be discontinued if billing reaches the contract maximum, absent explicit written approval of both the ATTORNEY GENERAL and DCP. CONTRACTOR acknowledges and agrees that failure to abide by this provision will result in waiver of any right to payment for billings or expenses in excess of contract maximum.

SECTION 4: TERMINATION

4.1 Notwithstanding any provisions in this Agreement, the ATTORNEY GENERAL, through a duly authorized employee, may terminate the Agreement whenever the ATTORNEY GENERAL makes a written determination that such termination is in the best interests of the State. The ATTORNEY GENERAL shall notify the CONTRACTOR in writing of termination pursuant to this Section, which notice shall specify the effective date of termination and the extent to which the CONTRACTOR must complete performance of the Services prior to such date.

4.2 Notwithstanding any provisions in the Agreement, the ATTORNEY GENERAL, through a duly authorized employee may, after making a written determination that the CONTRACTOR has breached the Agreement, terminate the Agreement by notifying the CONTRACTOR in writing of the termination pursuant to this Section, which notice shall specify the effective date of the termination.

4.3 The ATTORNEY GENERAL shall send the notice of termination via certified mail, return receipt requested, to CONTRACTOR at the most current address which CONTRACTOR has furnished to the ATTORNEY GENERAL for purposes of correspondence, or by hand delivery. Upon receiving the notice from the ATTORNEY GENERAL, CONTRACTOR shall immediately discontinue all services affected in accordance with the notice, undertake all commercially reasonable efforts to mitigate any losses or damages, and deliver to the ATTORNEY GENERAL all Records. The Records are deemed to be the property of the ATTORNEY GENERAL and CONTRACTOR shall deliver them to the ATTORNEY GENERAL no later than thirty

(30) days after the termination of the Agreement or fifteen (15) days after CONTRACTOR receives a written request from the ATTORNEY GENERAL for the Records.