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Securities Brokerage & Trading Services

Active

State & Local

Response Deadline10/09/2026, 09:00:00 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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This subcontract for Securities Brokerage and Trading Services supports the City Treasurer's Office in California by executing the purchase and sale of securities for municipal bond investment projects. The selected provider will trade in corporate notes, commercial paper, Federal Agency securities, and Treasuries to ensure the best relative value for prime contractors. Key deliverables include the execution of securities transactions, the provision of trade confirmations, and all necessary transaction documentation. To qualify for this role, the contractor must maintain FINRA registration and hold the required State of California licensing. Additionally, strict adherence to SEC Rule 15c3-1 is mandatory. The solicitation was posted on September 15, 2026, with a response deadline of October 9, 2026, falling under NAICS code 523120.

General Info

Securities brokerage services for California City Treasurer's Office municipal bond investment projects.

Agency

California → City Treasurer's OfficeView Agency

NAICS

523120 - Securities BrokerageView NAICS

Place of Performance

CA, USA

Set-Aside

NONE

Documents

This scope was carved out of RFQ#2627-004.

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

View the prime solicitation

RFQ#2626-004 Broker/Dealer Questionnaire & Certification

AI Contract Breakdown

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Timeline

PostedSep 15

subcontract

Response DeadlineOct 9

Submission deadline

Response Deadline

10/09/2026, 09:00:00 PM UTCin 23 days

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Organization & Contact Information

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AgencyCalifornia → City Treasurer's Office

ContactsNo contacts available

OfficeN/A

Organization / Agency

California → City Treasurer's Office

View Agency Profile

Office AddressN/A

ContactsNo contact information available

Full Description

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Executes the purchase and sale of securities for prime contractors on City of Redondo Beach municipal bond investment projects. Trades in Treasury, Federal Agency, Commercial Paper, and corporate notes to identify best relative value. Requires FINRA registration, compliance with SEC Rule 15c3-1, and State of California licensing. Delivers executed securities transactions, trade confirmations, and transaction documentation.

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RFQ#2626-004 Broker/Dealer Questionnaire & Certification

Solicitation # RFQ#2627-004

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.

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