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RFQ#2626-004 Broker/Dealer Questionnaire & Certification

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RFQ#2627-004State & Local

Contract Overview

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

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The City of Redondo Beach is soliciting responses from qualified broker/dealers to establish an Approved List of firms to invest the proceeds of its 93,350,000 dollar Measure FP General Obligation Bonds. These funds are dedicated to the reconstruction of two fire stations and the modernization of police facilities. The City anticipates issuing the bonds in early November 2026 and will utilize a competitive shopping process for investments and future rebalancing aligned with the project draw schedule. Because the City will not employ an independent registered municipal advisor, selected broker/dealers must operate under the Municipal Advisor Rule without exemption. Interested firms must submit a detailed 20-question questionnaire and a signed Certificate of Receipt and Understanding of the City's Investment Policy by October 9, 2026, via the OpenGov procurement portal. Evaluation criteria include California business licensure, FINRA registration, compliance with SEC Rule 15c3-1, and adherence to MSRB Rule G-37 regarding political contributions. Applicants must provide comprehensive documentation, including FOCUS reports, audited financial statements, trading resolutions, and FINRA reports with CRD numbers for account representatives. The City will select firms based on their regulatory history, experience serving the California public sector, and their ability to provide access to various market instruments.

General Info

Redondo Beach seeks qualified broker/dealers to invest 93.35 million dollars in bond proceeds.

Agency

California → City Treasurer's OfficeView Agency

NAICS

523150 - Investment Banking and Securities IntermediationView NAICS

Place of Performance

CA, USA

Set-Aside

NONE

Documents

(1)

RFQ#2627-004 Broker/Dealer Questionnaire - City of Redondo Beach

PDF•5 pages•rfq

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Timeline

PhaseSolicitation
Posted

Solicitation

Response Deadline

Submission deadline

Response Deadline

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Organization & Contact Information

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AgencyCalifornia → City Treasurer's Office
Contacts1 person available
OfficeRedondo Beach, CA, 90277, USA
Organization / Agency
California → City Treasurer's Office
View Agency Profile
Office AddressRedondo Beach, CA, 90277, USA
Contacts
Robert NormanAdministrative Analyst
contact@example.gov
+1 (555) 000-0000

Interested Companies (10)

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Suttles Plumbing and Mechanical
Simi Valley, CA
Maurer Marine
Costa Mesa, CA
FHN Financial Capital Markets
Memphis, TN

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Full Description

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The City of Redondo Beach ("City") is seeking responses from broker/dealers interested in working with the City to invest the proceeds of its upcoming Measure FP General Obligation Bonds ("the bonds"). The City's Measure FP Project is a November 5, 2024 voter-approved $93,350,000 general obligation (GO) bond measure to fund the reconstruction of two fire stations and the modernization of police facilities to enhance public safety operations. Broker/dealers transacting with the City to invest Measure FP proceeds will not have an exemption or exception to operate under the Municipal Advisor Rule as the City will not be utilizing an independent registered municipal advisor (IRMA) to advise on investing the proceeds. Based on the City's review, a select number of firms will be added to the City's Approved List of Broker/Dealers. Selected broker/dealers will be asked to complete and sign a certificate of receipt and understanding (attached) of the City's Investment Policy as the Policy will serve as the Permissible Investments for the bonds. The City's current Investment Policy is available on the City Treasurer's website: https://www.redondo.org/departments/city_treasurer/index.php . The City anticipates issuing the bonds in early November 2026 and investing the proceeds via a competitive shopping process aligned with the draw schedule shortly thereafter. We anticipate using the selected broker/dealers for any future rebalancing.

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