Notice of Intent to Sole Source - Filing of Form CRS through Web CRD®

The US Securities and Exchange Commission (SEC) intends to award a sole source contract to the Financial Industry Regulatory Authority (FINRA) for the Filing of Form CRS through a CRS System, and public access to the filings through BrokerCheck. The Commission requires FINRA to design, develop, and implement Form CRS capabilities in connection with FINRA Web CRD® and BrokerCheck systems, in order to enable broker-dealers to file Form CRS on the CRS System and access the CRS System through Web CRD®, to enable the CRS System to connect with the IARD System for Dual CRS filings by firms registered both as a broker dealer and as an investment adviser, to maintain such filings for designated periods, and to make the filings accessible to the public through BrokerCheck.  Additionally, the contract would also provide for FINRA to transfer Form CRS data to the SEC.

The period of performance is anticipated to be for one (1) base year, and there will be nine (9) option periods, each option period will be one (1) year in duration.

FINRA is the only known source that has been identified as capable of fulfilling the Government's requirement. The contract action is for services for which the Government intends to solicit and negotiate with only a sole source under the authority of FAR 6.302-1 and 41 U.S.C. 253(c)(1), Only One Responsible Source and No Other Supplies or Services Will Satisfy Agency Requirements. Negotiation will be conducted using other than full and open competition procedures pursuant to authority of FAR 6.302-1.

Responsible sources may submit a capability statement, proposal, or quotation, which shall be considered by the agency. This notice of intent is not a request for competitive proposals. The Government will not be responsible for any cost incurred in preparation of statements, proposal, or quotations. A determination by the Government not to compete this proposed contract based upon responses to this notice is solely within the discretion of the Government. Information received will normally be considered solely for the purpose of determining whether to conduct a competitive procurement. No solicitation or additional information will be made available with regard to this sole source notice.

Any responses to this notice of contract action shall be submitted electronically to John Ramsey (ramseyj@sec.gov) and John Bova (bovaj@sec.gov) no later than 12:00 PM, EST, March 13, 2020.