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3/3/2022 -- The purpose of this post is to publish Amendment 0001 to FY20 Class JA Expert and Third Party Neutral Services.
9/2020 -- This sources sought notice is issued for information purposes. The Securities and Exchange Commission (SEC) does not intend to award a contract solely on the basis of this notice. This is not a Request for Proposal (RFP) and does not commit the SEC to solicit or award a contract now or in the future or otherwise pay for the information solicited. Respondents shall be responsible for all costs associated with the information submitted in response to this notice.
The purpose of this notice is to identify sources with expert services experience relevant to securities law enforcement. All large and small business concerns capable of providing expert testimony in a U.S. Federal Court relevant to securities law enforcement actions are encouraged to respond to this notice. This includes, Small Business (SB), Veteran-Owned (VOSB), Service-Disabled Veteran Owned (SDVOB), HUBZone, Woman-Owned (WOSB), Economically Disadvantaged Women-Owned (EDWOSB), Small Disadvantaged Business (SDB), and Section 8(a) small business concerns.
BACKGROUND
The SEC Division of Enforcement investigates possible violations of securities laws and recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements. As an adjunct to the SEC's civil enforcement authority, ENF Division staff work closely with law enforcement agencies in the U.S. and around the world to bring criminal cases, when appropriate. For more information on the Division of Enforcement and recent litigation and administrative proceedings visit: https://www.sec.gov/enforce.
SCOPE
Expert services may be required to assist the SEC in the analysis or presentation of an investigation or litigation matter. The nature of the work is specific to the type of case, requirements of the respective court, and the location of the court's jurisdiction.
The Division of Enforcement maintains a list of experts with experience in a vast array of areas, including, but not limited to: Accounting; Forensic Accounting; Broker-Dealer; Investment Management; Computer Forensics; Fair Value Accounting; Rating and Closing Procedures; Accounting and Auditing Standards; Broker-Dealer Supervision; Municipal Bond Industry; Economics; Fixed-income Securities; Mutual Funds; Market Manipulation; Mutual Fund Portfolio Analysis; Microcap Stock Manipulation; Economic and Financial Economics; International Bank Foreign Exchange Industry; Life Expectancy Analysis; Investment Analysis; Economic Impact Analysis; Securities Lending; Structuring and Marketing of Complex Structured Financial Products; Hedge Funds; Margins; Options Pricing and Options Back-dating; FHA Loan origination and issuance; Collateralized Mortgage Obligations; Fiduciary Duties of Investment Advisor; Securities Registration; Oil and Gas Real Property Valuation; Asset Management; Mortgage-backed Securities; Derivatives; Investment Adviser Supervision; Foreign Law; Pricing Illiquid Securities; High Yield Investment Fraud; Options Trading; Futures Trading; Foreign Exchange (FOREX) Trading; Explanations of How Markets and Exchanges Work; Insurance-related Products; Hand-writing Analysis; Auditing Standards; Event Study Analysis; Churning; Suitability of Securities; Foreign Corrupt Practices Act (FCPA); Ponzi Schemes; Private Investment in Public Equity (PIPE) Offerings; Trade Risk Management; Unregistered Securities Offerings; Fund or Securities Valuation; and other specialties relevant to securities law enforcement actions.
REQUIREMENT
Respondents must be able to qualify as an expert witness in federal court with regard to one or more of the issues presented in an enforcement action brought by the SEC. Information regarding how to qualify as an expert witness in a federal court can be found in Article VII - Opinions and Expert Testimony of The Federal Rules of Evidence found at http://www.uscourts.gov/uscourts/rules/rules-evidence.pdf.
Respondents shall submit a complete capabilities package to include, 1) cover page; 2) information listed below; and 3) vitae or resume. The cover page should include a brief overview of the respondent's experience in the securities law enforcement area(s) listed above.
Respondents shall provide the following information, including the exact name of company and/or expert, physical street address, point-of-contact, phone number, email address, Dunn & Bradstreet Number (DUNs), and the System of Award Management (SAM) expiration date.
The capabilities package shall be submitted electronically to [email protected], ON OR BEFORE 3:00 p.m. ET, Sept 1, 2020. The email must be clearly marked “503102-20-9000" in the subject line.
The entire capabilities package may not exceed 10MB.
All questions regarding this notice shall be submitted in writing, addressed to Victor Cairo, and emailed to [email protected].
Respondents with complete capabilities packages will be added to the list of experts maintained by the Division of Enforcement.
Federal Acquisition Regulation (FAR) Requirements
The System for Award Management (SAM) is the primary database for procurement and payment information for contractors who wish to conduct business with the Federal Government. Prospective contractors are required to complete a one-time registration to provide basic information relevant to procurement and financial transactions. SAM includes Contractor Central Registration (CCR), Federal Agency Registration (Fedreg), Online Representation and Certification Application (ORCA), and Excluded Parties List System information. Additional information regarding registration and annual confirmation requirements may be obtained via SAM accessed through https://www.sam.gov/portal/SAM/#1 or by calling 866-606-8220, Monday - Friday 8 a.m. to 8 p.m. ET.
NOTE: Registration in SAM does not guarantee that a contract will be awarded to a prospective contractor.