Securities Brokerage Services

Added: Mar 07, 2011 10:21 am Asset Forfeiture Division Request for Information (RFI)
Securities Brokerage Services

BACKGROUND:
The United States Marshals Service (USMS) Asset Forfeiture Division (AFD) has a responsibility to publicly advertise and sell forfeited marketable securities and intangible assets throughout the United States.

REQUEST FOR INFORMATION (RFI)
This announcement is posted as an RFI only, for market research purposes only. This request for information is issued to determine whether there are qualified sources that will be able to meet the requirement for Securities Brokerage Services, Nationwide.

Please provide a written response to the questions below. Provide your response to Shannon Dinkelman, Contract Specialist via email at shannon.dinkelman@usdoj.gov or you may fax your response to 202-307-5020, Attn: Shannon Dinkelman. You are advised that providing responses to the questions will not automatically include you in the acquisition process for this solicitation.

All responses are due by March 14, 2011, 2pm EST.

Name of Firm:

____________________________________________________

Address:

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Point of Contact:

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Telephone #:

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Email Address:

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Fax #:

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Company Website Address:

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Survey Questions:

1. Indicate your firms' size and status of your organization: ____Small Business, ____Large Business, ____ 8a, ____Veteran-owned, ____Service Disabled Veteran-owned, ____HUB Zone Small Business, ____Small Disadvantaged Small Business, ____Woman-owned Small Business, and ____Historically Black Colleges/Minority Institutions? Indicate the number of years your firm has been providing professional securities brokerage services, and indicate active securities exchange memberships.

2. What percentage of the work would your firm perform and what percentage of the work would you subcontract? If subcontracting opportunities are available, do you anticipate subcontracting with ___small business, ___veteran-owned small business, ____service-disabled, ___women-owned small business concerns?

3. Does your firm specialize in brokerage services for privately-held companies or securities that are not publicly traded? If so, describe.

4. Does your firm specialize in specific industries or market segments? If so, describe.

5. Has your firm conducted marketing and sales of securities that have not been registered with the Securities and Exchange Commission (SEC), commonly called Restricted Securities, using the SEC Foreclosure Exemption which permits public sale to a single purchaser under specified conditions?

6. Has your firm used the internet to conduct public announcements and bidding of unregistered securities? If so, describe.

7. Are you aware of any Laws and Regulations that are unique to the services being requested?

8. Does your firm possess the necessary licenses and permits to conduct securities brokerage services nationwide and in U.S. Territories? If so, describe.

End of Survey.