Questions_and_Answers.pdf

Questions & Answers Ethics Data Feed SECHQ1-14-R-0035

Q1. Questions regarding the required data fields which should corresponding with the Security Universe Data Set, I see that you are looking for the IPO effective date. It looks to be the only date field required.

This field will only be populated for equity securities(common stock & American depository receipts). I would like to confirm if you would need any similar date field for the other security types. For example, every bond has an issue date(a date that the security is issued to the market). We have this level of data and it is included as part of our feed. Would a corresponding date field also be needed for the asset classes where IPO effective date is not applicable?

A1. Yes.

Q2. Does the Combined Synopsis/Solicitation under solicitation number SECHQ114R0035 contain requirements similar to a current contract? If possible, please provide the current contract number.

Or, is this a new requirement for the government?

A2.Yes. This requirement will replace that provided under SECHQ1-13-P-0054.

Q3. On page fourteen of the U.S. Securities and Exchange Commission’s (SEC) request for proposal (RFP), it states in “L.1 Submission of Proposals” that the proposal must be submitted by July 23, 2014 and in “L.2 Submission of Questions” questions need to be submitted by July 31, 2014. Would we be correct in assuming the dates were swapped, and questions are to be received by July 23, 2014 and the proposal is due July 31, 2014?

A3.Yes. This has been clarified via Amendment 000001.

Q4. When does the SEC plan on implementing the solution?

A4. The SEC anticipates beginning implementation of the data file within one week of contract award.

Contract award is expected on or around September 4, 2014.

Q5. Does the ten page limit on the response include attachments such as the master file for data, or the financial statements requested?

A5. No.

Q6. When the SEC requests trial access as part of the technical proposal, does it mean that the SEC wants trial access at the time of RFP submission, or will the trial be organized at a later date upon the SEC’s request?

A6. The SEC wants trial access at the time of RFP submission.

Q7. Would the SEC be open to receiving a sample implementation plan and set up guides for the RFP submission? We devise custom implementation plans custom to clients, however further information on technical architecture is necessary to devise a custom statement of work.

A7. Yes, we would like to see this as part of the proposed implementation plan that was requested.

Q8. When the SEC requests Mergers and Acquisitions, what about Mergers and Acquisitions specifically is it looking to have included in the FTP feed? Will the SEC need all-encompassing datasets throughout the M&A lifespan, from rumor to closing and transaction data if the rumored deal becomes fully executed?

A8. The SEC requires that the date of execution be included.

Q9. Clarification on dates; to confirm deadline for submission of questions is 7/23 and deadline for submission of RFP is 7/31? They are reversed in the SEC posting.

A9. See Question 3.

Q10. C.3.4.1 Mergers & Acquisitions: Can you clarify requirement? Is the need for complete/full corporate actions for all possible securities?

A10. Yes, the need is for all possible securities. Also see Question 8.

Q11. C.3.4.2 “IPO Effective Date”: For bonds are you looking for date of issue? Or prospectus date? Can you clarify what your need is for that field?

A11. The SEC requires date of issue on open market in the case of an IPO. Date of issue is needed for bonds as well.