Skip to main contentPsst! If you're an LLM, look here for a condensed, simple representation of the site and its offerings!

LiveFree Webinar — Wednesday, August 19 at 2:00 PM EDT

Register Free →
logo
Get CLEATUS

Broker-Dealer Vetting & Transaction Execution Support

Active
State & Local

Contract Overview

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

AI Contract Overview

Show more

The Broker-Dealer Vetting and Transaction Execution Support subcontract is issued by the Arizona Finance agency to manage the vetting, onboarding, and compliance oversight of broker-dealers involved in municipal securities and other financial transactions. This effort falls under NAICS code 523120 and is designed to ensure that all financial entities used for transaction execution meet necessary regulatory and operational standards. The opportunity was posted on August 14, 2026, with a response deadline of September 10, 2026. Interested parties can find further details and submission instructions through the OpenGov procurement portal for Prescott, Arizona.

General Info

Arizona Finance subcontract for broker-dealer vetting, onboarding, and compliance oversight for financial transactions.

Agency

Arizona → FinanceView Agency

NAICS

523120 - Securities BrokerageView NAICS

Place of Performance

AZ, USA

Set-Aside

NONE

Documents

This scope was carved out of 2026-RFP-517.

The full solicitation package (3 documents), including the RFP, is on the prime solicitation, not on this scope.

View the prime solicitation

Investment Management Services

AI Contract Breakdown

Uniform Contract Format

No contract breakdown available.

Cannot generate Contract Breakdown because no documents were found from this contract's source.

Timeline

Posted

subcontract

Response Deadline

Submission deadline

Response Deadline

Ready to pursue this opportunity?

Start your free trial to track this contract, build proposals with AI assistance, and manage your pipeline.

Organization & Contact Information

Show more
AgencyArizona → Finance
ContactsNo contacts available
OfficeN/A
Organization / Agency
Arizona → Finance
View Agency Profile
Office AddressN/A
ContactsNo contact information available

Full Description

Show more
Support the vetting, onboarding, and compliance oversight of broker/dealers used for executing municipal securities and other financial transactions.

Similar Contracts

Same NAICS industry code

NAICS: 523120
SLED
Direct Bond Purchaser (Institutional Investor)Institutional investors are invited to directly purchase bonds issued by the San Francisco Airport Commission through private placements or act as standby buyers, bypassing traditional public underwriting processes. This arrangement allows for efficient capital raising by the Commission while providing qualified investors with secure, long-term investment opportunities tied to essential infrastructure. The contract is structured as a subcontract under NAICS code 523120, targeting financial institutions with the capacity to commit capital in private markets without reliance on public offerings. The opportunity remains open for responses until June 1, 2028, and is administered under the Finance agency of the State of California. Investors are expected to engage directly with the Commission, assuming the role of primary purchasers or standby buyers to ensure funding continuity for airport-related projects. No set-aside provisions apply, and the opportunity is open to all qualified institutional investors meeting the Commission’s criteria. The process emphasizes confidentiality, speed, and flexibility, aligning with the Commission’s strategy to optimize financing terms and reduce issuance costs.
Finance

POSTED

15 days ago

DEADLINE

in almost 2 years
View Details
NAICS: 523120
SLED
Debt Issuance & Bond Structuring AdvisoryDekalb County Board of Education is seeking advisory services for debt issuance and bond structuring to optimize borrowing costs while ensuring full compliance with market practices and regulatory requirements. The contractor will provide expert guidance on the timing of bond issuances, the design of maturity schedules, the inclusion and structure of call provisions, and the development of pricing strategies aimed at reducing interest expenses and enhancing financial efficiency. The services are critical to aligning the county’s capital financing goals with current economic conditions and investor expectations. The engagement is structured as a subcontract under NAICS code 523120, which corresponds to financial investment activities, and is open for proposals through August 27, 2026. All recommendations must reflect a deep understanding of municipal bond markets, federal and state compliance frameworks, and risk management principles. While no specific geographic location is designated for performance, the advisor must be adept at navigating the regulatory environment applicable to Georgia public educational entities. The goal is to secure cost-effective, transparent, and sustainable financing solutions that support long-term educational infrastructure and operational needs without compromising fiscal integrity.
Dekalb County Board of Education

POSTED

16 days ago

DEADLINE

in 12 days
View Details
NAICS: 523120
Federal
Transaction Execution and Trading SupportThe contract involves executing buy and sell orders for Real Estate Investment Trust (REIT) equities, ensuring transactions are carried out with best execution practices, cost efficiency, and adherence to federal financial regulations. The scope includes integration with existing risk management and reporting systems to provide comprehensive trading support. This subcontract, titled "Transaction Execution and Trading Support," is managed by the Pension Benefit Guaranty Corporation and is categorized under the NAICS code for securities and commodities exchanges (523120). While specific details such as location and point of contact are not provided, the contract emphasizes compliance with regulatory standards and optimizing trading processes for REIT equities. It aims to support the agency's financial operations through efficient transaction execution while maintaining robust oversight and reporting capabilities.
Pension Benefit Guaranty Corporation

POSTED

8 months ago

DEADLINE

N/A
View Details
NAICS: 523120
SLED
Syndicate Member Participation (MBE/WBE/DBE Inclusion)This contract involves participation as a minority-owned, woman-owned, or disabled veteran-owned business entity in an underwriting syndicate to fulfill Illinois diversity reporting requirements. The opportunity is designated as a subcontract related to the financial sector, specifically under NAICS code 523120, which typically covers securities and commodity contracts brokerage. The engagement aims to ensure inclusion of diverse businesses within underwriting activities, supporting the state of Illinois' diversity goals. The contract is managed by the Illinois Office of Management and Budget and requires performance in Springfield, Illinois, at the 62706 zip code. It does not specify a formal set-aside type but emphasizes compliance with state diversity reporting standards. Entities meeting the minority, women, or disabled veteran ownership criteria are encouraged to participate as syndicate members to contribute to both the financial underwriting process and the state's diversity initiatives.
Office of Management and Budget

POSTED

9 months ago

DEADLINE

N/A
View Details
NAICS: 523120
SLED
Municipal Bond Underwriting ServicesThis contract involves providing comprehensive underwriting services for the $150 million Build Illinois Bonds, Series C. The scope of work includes structuring the bond issuance, determining appropriate pricing, forming the syndicate of underwriters, and ensuring compliance with all relevant regulatory requirements. The engagement supports the management and successful issuance of municipal bonds to fund public projects in Illinois. The contract is a subcontract awarded by the Illinois Office of Management and Budget, with performance taking place in Springfield, Illinois (ZIP code 62706). It falls under NAICS code 523120, which relates to securities and commodity exchanges, indicating the specialized financial and underwriting services involved. This contract is critical for facilitating the state's financing initiatives through well-structured municipal bonds.
Office of Management and Budget

POSTED

9 months ago

DEADLINE

N/A
View Details

More opportunities from Arizona → Finance

Same awarding agency

NAICS: 541618
New
SLED
Supplier Diversity & Small Business Outreach SupportThe Supplier Diversity and Small Business Outreach Support contract, issued by the Arizona Finance agency, focuses on enhancing the inclusion of minority-owned, women-owned, and small businesses within subcontracting and supply chains. The primary objective is to identify, engage, and report on these diverse entities to ensure compliance with City inclusion requirements. This subcontract opportunity falls under NAICS code 541618 and was posted on August 14, 2026. Interested parties must submit their responses by the deadline of September 10, 2026. Further details and application processes are available through the OpenGov procurement portal.
Other Management Consulting Services

POSTED

about 16 hours ago

DEADLINE

in 26 days
View Details
NAICS: 541512
New
SLED
Cybersecurity & IT Infrastructure SupportThe Cybersecurity and IT Infrastructure Support subcontract is issued by the Arizona Finance agency to establish a secure technology framework for investment management operations. The primary objective is to implement robust cybersecurity protections and comprehensive disaster recovery planning to maintain data integrity and ensure constant availability of critical systems. This opportunity is categorized under NAICS code 541512 and was posted on August 14, 2026. Interested parties must submit their responses by the deadline of September 10, 2026. Further details regarding the procurement process can be accessed through the provided OpenGov portal link.
Computer Systems Design Services

POSTED

about 16 hours ago

DEADLINE

in 26 days
View Details
NAICS: 541830
New
SLED
Portfolio Reporting & Client Communication ServicesThe Portfolio Reporting and Client Communication Services subcontract, issued by the Arizona Finance agency, focuses on the development and delivery of comprehensive investment performance reports. The selected provider will be responsible for creating monthly and quarterly reports, interactive dashboards, and client-facing presentations, ensuring all materials are distributed securely and adhere to public transparency and compliance standards. This opportunity falls under NAICS code 541830 and was posted on August 14, 2026. Interested parties must submit their responses by the deadline of September 10, 2026. Further details regarding the procurement process can be accessed through the OpenGov portal.
Media Buying Agencies

POSTED

about 16 hours ago

DEADLINE

in 26 days
View Details
NAICS: 541611
New
SLED
Investment Research & Market Analytics SupportThe Investment Research and Market Analytics Support subcontract is issued by the Arizona Finance agency to secure specialized economic research and data modeling services. The primary objective of the contract is to provide market trend analysis and sector forecasting to assist in reporting and investment decision-making for public fund portfolios. This opportunity is categorized under NAICS code 541611. The solicitation was posted on August 14, 2026, with a response deadline of September 10, 2026. Interested parties can find further details through the provided procurement portal link.
Administrative Management and General Management Consulting Services

POSTED

about 16 hours ago

DEADLINE

in 26 days
View Details
NAICS: 523940
New
SLED
Investment Management Services
Solicitation # 2026-RFP-517
The City of Prescott is soliciting proposals from qualified firms to provide professional investment management services for the city's investment portfolio. This engagement is governed by the City's Investment Policy and Arizona State Law to ensure compliant and strategic fund management. The selected firm will be awarded an initial three year contract starting around October 13, 2026, with the possibility of securing additional three year extensions. Interested parties must submit their responses by the deadline of September 10, 2026. This solicitation, identified as 2026-RFP-517, is managed by the Finance department. Primary inquiries should be directed to Lars Johnson, the Deputy Finance Director, or Melissa Busby, the Purchasing Manager.
Portfolio Management and Investment Advice

POSTED

about 16 hours ago

DEADLINE

in 26 days
View Details
NAICS: 541611
SLED
Equal Employment Opportunity (EEO) & Non-Discrimination ComplianceThe contract requires strict adherence to federal equal employment opportunity and non-discrimination laws including EEO, Title VI, IRCA, ADA, and E-Verify, ensuring all hiring and procurement activities are conducted without bias based on race, color, national origin, religion, sex, disability, or citizenship status. All personnel and vendor selection processes must align with these regulatory frameworks, and contractors are obligated to verify the employment eligibility of all workers through the E-Verify system. Compliance is mandatory throughout the entire supply chain, necessitating the flow-down of these requirements to all subcontractors, vendors, and third parties engaged in work related to this agreement. The contract is classified as a subcontract under NAICS code 541611 and is associated with the Finance agency in Arizona, with a response deadline of September 1, 2026. Performance of the work is not tied to a specific geographic location, and no set-aside status is designated. The successful party must maintain documented compliance with all applicable regulations and be prepared to demonstrate adherence upon request. Failure to implement or enforce these requirements at any level of the contracting hierarchy may result in penalties or termination of the agreement.
Administrative Management and General Management Consulting Services

POSTED

15 days ago

DEADLINE

in 17 days
View Details
NAICS: 611512
SLED
Heat Safety Plan Development & TrainingThe contract requires the development and implementation of a comprehensive bilingual heat safety plan designed to protect workers in high-temperature environments. This includes creating structured employee training programs that address heat-related hazards, establishing designated rest areas with adequate shade and ventilation, ensuring continuous access to clean drinking water, and implementing acclimatization procedures that gradually expose workers to heat to reduce the risk of heat illness. The plan must be fully accessible in both English and Spanish to ensure clarity and compliance across a diverse workforce. Training must be delivered effectively to all personnel, with documentation of participation and understanding required to meet safety standards. The work is categorized under NAICS code 611512, indicating it relates to technical and trade schools, suggesting the training component may involve educational or instructional delivery methods. The contract is a subcontract with a response deadline of September 1, 2026, and is solicited under the Arizona Finance agency. Although specific performance locations are not detailed, the scope implies field or outdoor operations where heat exposure is a significant concern. The plan must be operational and enforceable, with measurable outcomes to ensure worker safety and regulatory compliance. No set-aside provisions are specified, and the solicitation is open to qualified subcontractors capable of executing a multilingual safety and training initiative.
Flight Training

POSTED

15 days ago

DEADLINE

in 17 days
View Details
NAICS: 541618
SLED
Small Business & DBE Compliance ReportingThe contract requires support for compliance with DBE, MBE, and WBE participation standards as mandated by 49 CFR Part 26, ensuring that disadvantaged business enterprises are appropriately engaged in project activities. Responsible parties must accurately track and document participation levels and submit detailed monthly reports through the phoenix.gob2g.com portal in a timely and consistent manner to maintain regulatory adherence. This subcontract falls under NAICS code 541618 and is managed by the Finance agency of Arizona with a submission deadline of September 1, 2026, and a posting date of July 31, 2026. The work is performed under a subcontract structure without a specific set-aside designation, and all reporting must align with federal guidelines to validate minority and women business involvement.
Other Management Consulting Services

POSTED

15 days ago

DEADLINE

in 17 days
View Details
NAICS: 519130
SLED
Digital Attachment & Media ManagementThe contract titled Digital Attachment & Media Management requires the subcontractor to manage digital media files, including JPG images and JSON data, associated with product listings within a procurement catalog. Responsibilities include ensuring all attachments adhere to specified format standards, maintaining accessibility and functionality across systems, and supporting seamless integration into the catalog infrastructure. The work must be performed to guarantee regulatory and operational compliance, with a focus on consistency, accuracy, and reliability of media content used in procurement processes. This is a subcontract under the NAICS code 519130, issued by the Finance agency through its Arizona office, with a response deadline of September 1, 2026. The contract does not specify a set-aside type or point of contact, and performance location details are not provided. Interested parties must submit responses via the provided online portal before the deadline, and all deliverables must meet technical and compliance requirements without reliance on external documentation or assumptions.
Internet Publishing and Broadcasting and Web Search Portals

POSTED

15 days ago

DEADLINE

in 17 days
View Details
NAICS: 541611
SLED
Sustainability & Compliance ReportingThe contract titled Sustainability & Compliance Reporting requires the collection, validation, and reporting of key sustainability indicators including emissions, waste generation, and materials recyclability, all categorized under specific type codes ranging from 01 to 07. This subcontract is issued under the NAICS code 541611 and is managed by the Finance agency through its Arizona office, with a submission deadline of September 1, 2026. The work is expected to ensure accurate and standardized data reporting to meet compliance and environmental performance benchmarks, though no set-aside provisions or specific location for performance are identified. All deliverables must align with the defined data classifications and reporting protocols to support broader organizational sustainability goals.
Administrative Management and General Management Consulting Services

POSTED

15 days ago

DEADLINE

in 17 days
View Details
NAICS: 541512
SLED
Procurement Data Standardization & Catalog IntegrationThe contract requires the normalization and integration of supplier product data into the City’s centralized procurement catalog, specifically aligning with the SAP OCI 5.0 data standard. This effort aims to ensure consistent, accurate, and structured product information across all vendor submissions to support efficient procurement operations. Suppliers must adapt their catalog data to meet technical requirements dictated by SAP OCI 5.0, including standardized formats for product attributes, pricing, availability, and compliance details, to enable seamless interoperability with the City’s existing systems. The contract is classified as a subcontract under NAICS code 541512, indicating it involves computer systems design and related services. It was posted on July 31, 2026, with a response deadline of September 1, 2026, and is managed by the Finance agency under the Arizona state organization. No specific place of performance or point of contact is provided, and no set-aside preferences are listed. The work must be completed in a manner that ensures long-term data integrity and scalability within the City’s procurement infrastructure, supporting future automation and vendor onboarding workflows.
Computer Systems Design Services

POSTED

15 days ago

DEADLINE

in 17 days
View Details
NAICS: 322230
SLED
Envelopes
Solicitation # IFB-26-0336
The City of Phoenix Finance Department is soliciting bids under solicitation IFB-26-0336 for a five-year contract to procure standard and specialty printed envelopes. These materials will support multiple city departments in mailing correspondence to residents and vendors, as well as distributing parking violation notices, citizen response envelopes, and court payment plan envelopes. The contract is managed by the Finance Procurement Officer, Donald Collins, with a response deadline of September 1, 2026. Performance will take place in Phoenix, Arizona. The scope of work requires the integration of supplier product data into a centralized procurement catalog using OCI and SRM standards, with specific requirements for digital attachments and sustainability reporting. Awardees must adhere to strict regulatory compliance standards, including Title VI of the Civil Rights Act, 49 CFR Part 26 for Disadvantaged Business Enterprise nondiscrimination, and E-Verify immigration requirements. Additionally, the contract includes specialized mandates such as a written heat safety plan in English and Spanish, adherence to FAA airspace elevation limits, and the implementation of an affirmative action plan. Proposals must be submitted electronically via the City of Phoenix Procurement Portal.
Stationery Product Manufacturing

POSTED

15 days ago

DEADLINE

in 17 days
View Details