Sources Sought Notice for retirement assets data subscription
Closed Pre-Solicitation Posted
This opportunity was awarded. See the award notice from , or the latest special notice from .
- Solicitation number
- 50310223Q0097
- Responses due
- Set-aside
- No set-aside
Opportunity facts
- NAICS code
- Not on record
- PSC
- Not on record
Notice details come from SAM.gov. Updated .
About this opportunity
The Securities and Exchange Commission seeks sources for a commercial off-the-shelf subscription to retirement assets data. Requirements include aggregated Form 5500 plan filings matched to public SEC and FINRA filings, assets under management for SEC registrants and private funds, individual investment advisor and representative information, investment vehicle and plan types used, fees and expenses, and at least five years of historical filing data. Interested parties must demonstrate how their subscription product meets these requirements and provide pricing for a 12-month base period and four 12-month option periods by June 29, 2023.
There is no set-aside designation. The incumbent contractor is Asset International, Inc. under contract number 50310218P0080. Pricing should include a base period of 12 months and estimated pricing for four 12-month option periods. Questions regarding this notice must be submitted by June 22, 2023. This is a sources sought notice for information purposes only and does not constitute a solicitation.
Notice text
2 versions
Update #2 · Latest ·
Update (6/22): This notice is updated to provide the SEC Response to Questions (attached). All other terms of the notice remian unchanged.
Original Notice: The U.S. Securities and Exchange Commission (SEC) is seeking sources for subscription to retirement assets data. Attachment 1 provides a complete description of the SEC’s Draft Requirements. The SEC has a preference for a Commercial Off The Shelf (COTS) subscription product. The SEC is not seeking a subscription product that requires development.
Each respondent to this Sources Sought notice shall provide the following:
1. Summary/cover letter (limited to 3 pages) with following company information:
- Company name and address;
- Name of company representative and their business title;
- Verification if your company is registered in www.SAM.gov and your company's unique entity identifier (uei) number (Note: your company must have active registration in SAM to be considered for this Sources Sought Notice)
- Business size and whether your company has any current socio-economic classifications (e.g. Service Disabled Veteran Owned Small Business (SDVOSB)
2. A description of your company’s subscription product and how it meets each of the SEC’s Requirements in Attachment 1 (limit 7 pages for the product description document). Additionally, your company may provide sample data file if available.
3. A price estimate for a Base Period of 12-months with estimated pricing for 4 Option Periods of 12 months each. The pricing should be inclusive of all fees.
Question and Response Deadline:
Any questions regarding this Sources Sought notice must be sent to Jeremy Garrett via email at GarrettJ@sec.gov by no later than 3:00 PM ET on June 22nd, 2023.
All responses to this notice must be submitted to Jeremy Garrett via email at GarrettJ@sec.gov by no later than 3:00 PM ET on June 29th, 2023. Responses must include: 1. Summary/Cover Letter 2. Description of subscription product and sample data file (if available) 3. Price estimate
DISCLAIMER:
THIS SOURCES SOUGHT IS FOR INFORMATIONAL PURPOSES ONLY. THIS IS NOT A REQUEST FOR PROPOSAL. IT DOES NOT CONSTITUTE A SOLICITATION AND SHALL NOT BE CONSTRUED AS A COMMITMENT BY THE GOVERNMENT. RESPONSES IN ANY FORM SHALL NOT BE CONSIDERED AS OFFERS. NO FUNDS ARE AVAILABLE TO PAY FOR PREPARATION OF RESPONSES TO THIS ANNOUNCEMENT. ANY INFORMATION SUBMITTED BY RESPONDENTS TO THIS ANNOUNCEMENT IS STRICTLY VOLUNTARY.
Proprietary information and trade secrets, if any, must be clearly marked on all materials. All information received that is marked Proprietary will be handled accordingly. Please be advised that all submissions become Government property and will not be returned. The Government shall not be held liable for any damages incurred if proprietary information is not properly identified.
Update #1 ·
The U.S. Securities and Exchange Commission (SEC) is seeking sources for subscription to retirement assets data. Attachment 1 provides a complete description of the SEC’s Draft Requirements. The SEC has a preference for a Commercial Off The Shelf (COTS) subscription product. The SEC is not seeking a subscription product that requires development.
Each respondent to this Sources Sought notice shall provide the following:
1. Summary/cover letter (limited to 3 pages) with following company information:
- Company name and address;
- Name of company representative and their business title;
- Verification if your company is registered in www.SAM.gov and your company's unique entity identifier (uei) number (Note: your company must have active registration in SAM to be considered for this Sources Sought Notice)
- Business size and whether your company has any current socio-economic classifications (e.g. Service Disabled Veteran Owned Small Business (SDVOSB)
2. A description of your company’s subscription product and how it meets each of the SEC’s Requirements in Attachment 1 (limit 7 pages for the product description document). Additionally, your company may provide sample data file if available.
3. A price estimate for a Base Period of 12-months with estimated pricing for 4 Option Periods of 12 months each. The pricing should be inclusive of all fees.
Question and Response Deadline:
Any questions regarding this Sources Sought notice must be sent to Jeremy Garrett via email at GarrettJ@sec.gov by no later than 3:00 PM ET on June 22nd, 2023.
All responses to this notice must be submitted to Jeremy Garrett via email at GarrettJ@sec.gov by no later than 3:00 PM ET on June 29th, 2023. Responses must include: 1. Summary/Cover Letter 2. Description of subscription product and sample data file (if available) 3. Price estimate
DISCLAIMER:
THIS SOURCES SOUGHT IS FOR INFORMATIONAL PURPOSES ONLY. THIS IS NOT A REQUEST FOR PROPOSAL. IT DOES NOT CONSTITUTE A SOLICITATION AND SHALL NOT BE CONSTRUED AS A COMMITMENT BY THE GOVERNMENT. RESPONSES IN ANY FORM SHALL NOT BE CONSIDERED AS OFFERS. NO FUNDS ARE AVAILABLE TO PAY FOR PREPARATION OF RESPONSES TO THIS ANNOUNCEMENT. ANY INFORMATION SUBMITTED BY RESPONDENTS TO THIS ANNOUNCEMENT IS STRICTLY VOLUNTARY.
Proprietary information and trade secrets, if any, must be clearly marked on all materials. All information received that is marked Proprietary will be handled accordingly. Please be advised that all submissions become Government property and will not be returned. The Government shall not be held liable for any damages incurred if proprietary information is not properly identified.
Attachments
| File | Type | Posted |
|---|---|---|
| SEC Response to Questions (Sources Sought 50310223Q0097).pdf | ||
| Attachment 1 - Draft Requirements List (Retirement assets data subscription).pdf |
Notice history
| Notice | Type | Posted |
|---|---|---|
| Justification for sole source purchase order for subscription to ERISA data | Limited / Sole Source Justification | |
| Award notification for sole source purchase order to subscription to ERISA data | Award Notice | |
| Notification of the SEC’s intent to award a sole source purchase order for subscription to ERISA data | Special Notice | |
| Sources Sought Notice for retirement assets data subscription | Pre-Solicitation |
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