Questions_and_Answers.pdf

3rd Party Data Requirement Questions and Answers

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Q1 Sourcing: Is the expectation that the coverage of the specified markets and asset classes is to be achieved by 1 or multiple sources of data?

A1 It is preferable to have one data source, but we understand that multiple data sources may be required

Q2 Storage: Does the SEC prefer all data to be stored on premise or in the cloud?

A2 Our preference is for all data to be stored on SEC premises. While SEC builds out local data storage, direct access to the data stored by the vendor will work as a short-term solution. All connections to storage must be kept secure.

With regard to the question: “Does the SEC prefer all data to be stored on premise or in the cloud?” If this refers to where the vendor will store the data, then we have no preference as long as the data is secure and accessible.

Q3 Access: What is the SEC’s preferred type of API? Java, SQL, Web Services etc.

A3 Our preference is Web API HTTP (note this is slightly different from Web Services)

Q4 Corporate Actions: Does the SEC want to source Corporate Actions impacting only the specified 22 attributes or all ISO event types?

A4 All event types

Q5 Historical: Is the historical universe only required to store the values stated in the attribute list?

A5 Yes

Q6 Is this a new requirement or is this replacing an existing SEC contract?

A6 New

Q7 Does the SEC already have a current license for CUSIP data that includes this use case?

A7 Yes

3rd Party Data Requirement Questions and Answers

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Q8 Are all 5 Instrument Categories the minimum base requirement or would the SEC entertain options for each Instrument Category?

A8 All 5 are minimum base

Q9 Would the presence of an adjustment factor for the SEC to calculate the Adjusted Close be considered sufficient for the adjusted close?

A9 An adjustment factor is fine, as long as it’s simple to calculate the Adjusted Close with that value (e.g. we just need to multiply factor and some other value, or something similar)

Q10 Per the response requirements noted referencing CLIN and Options – will additional detail be provided on the SEC’s requirement for separate CLIN’s or will this be one single CLIN for the purpose of the price quote?

A10 Single CLIN for base requirement and option CLINs for additional periods of performance

Q11 If the award date is on or about August 28th, 2015 as noted what would the required timing of performance or implementation of the final solution be after the award?

A11 Date of award

Q12 Is the trial requirement for 7/30 to 8/12 – 10 business days to start right after RFP due date?

A12 Yes

Q13 Does the SEC already have a license for ISINs?

A13 No, the vendor should include ISIN license pricing within their proposal