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Broker-Dealer Investment Services

Active

State & Local

Response Deadline10/21/2026, 10:00:00 PM UTC

Contract Overview

Solicitation details, issuing organization, response deadlines, documents, and interested companies for this government contract opportunity.

AI Contract Overview

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The Broker-Dealer Investment Services subcontract, managed by the County Executive Office of Budget and Finance for the state of California, involves providing specialized investment services for prime contractors on County of Orange projects. The selected provider will be responsible for executing trades in U.S. Government Securities, offering liquidity and market-making services, and managing investment portfolios in strict accordance with the County's Investment Policy. Key deliverables include the execution of trades, the management of investment portfolios, and the submission of detailed financial transaction reports. To qualify for this role, the contractor must maintain active SEC and FINRA registrations, hold valid authorization to operate in California, and possess SIPC insurance. This opportunity was posted on September 17, 2026, with a response deadline of October 21, 2026, falling under NAICS code 523130.

General Info

California broker-dealer services for Orange County investment portfolio management and securities trading.

Agency

California → County Executive Office - Budget & FinanceView Agency

NAICS

523130 - Commodity Contracts DealingView NAICS

Place of Performance

CA, USA

Set-Aside

NONE

Documents

This scope was carved out of DBA 23-000122.

The full solicitation package (1 document), including the RFP, is on the prime solicitation, not on this scope.

View the prime solicitation

Broker-Dealer Application (BDA) 2026

AI Contract Breakdown

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Timeline

PostedSep 17

subcontract

Response DeadlineOct 21

Submission deadline

Response Deadline

10/21/2026, 10:00:00 PM UTCin about 1 month

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Organization & Contact Information

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AgencyCalifornia → County Executive Office - Budget & Finance

ContactsNo contacts available

OfficeN/A

Organization / Agency

California → County Executive Office - Budget & Finance

View Agency Profile

Office AddressN/A

ContactsNo contact information available

Full Description

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Provides investment-related services for prime contractors on County of Orange investment projects. Executes trades in U.S. Government Securities, provides liquidity and market-making services, and manages investment portfolios per the County's Investment Policy. Requires SEC and FINRA registrations, California authorization, and SIPC insurance. Delivers executed trades, investment portfolios, and financial transaction reports.

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Financial Advisory & Strategic AnalysisThe Financial Advisory and Strategic Analysis subcontract, managed by the County Executive Office of Budget and Finance in California, provides expert economic analysis and strategic investment guidance for prime contractors on County of Orange financial projects. The scope of work includes granting access to economists and strategists, issuing credit rating reports, and delivering specialized training to County staff through the use of proprietary financial modeling software. Qualified providers must hold professional certifications such as a CPA or CFA to deliver the required economic reports, credit analysis documents, and training sessions. This opportunity, categorized under NAICS code 523930, was posted on September 17, 2026, with a response deadline of October 21, 2026.

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DEADLINE

in about 1 month

Broker-Dealer Application (BDA) 2026

Solicitation # DBA 23-000122

The County of Orange, through the County Executive Office of Budget and Finance, is conducting a solicitation process under DBA 23-000122 to establish an Approved Broker-Dealers List for investment-related services. This process evaluates Broker-Dealers based on a standardized points-based scoring matrix, focusing on client services, references, investment types, trade confirmation efficiency, primary dealer status, electronic trading platforms, research portals, and firm experience. To be eligible, applicants must have at least five years of operating experience, hold SEC and FINRA registrations, be authorized to operate in California, and comply with SEC Rule 15c3-1 net capital requirements. Submission of the application is required by October 21, 2026, at 3:00 pm via the County's online bidding system in PDF format. Required documentation includes a completed application, audited annual reports, Form BD Status Reports, SEC Focus Reports or FFIEC 031, service level agreements, MSRB Rule G-37 filings, and Levine Act Campaign Contribution Disclosure forms. Approved firms must acknowledge the County's Investment Policy and adhere to strict operational standards, such as providing trade confirmations to the County's custodian within two hours of execution. This application process is informational and does not constitute a binding contract or guarantee of inclusion on the approved list.

Investment Banking and Securities Intermediation

POSTED

DEADLINE

in about 1 month

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