Broker-Dealer Application for Investment Services
Orange County
Original Solicitation Links
DBA 23-000122
]broker-dealer application (bda) 2026
Submission Instructions
Description
The County of Orange is evaluating broker-dealers for potential inclusion on its Approved Broker-Dealers List to provide investment-related services. Applicants must demonstrate appropriate SEC and FINRA registrations, California authorization, regulatory standing, net capital compliance, financial condition, relevant experience, trading capabilities, settlement and trade-confirmation processes, electronic trading platforms, research resources, and service and support capabilities. Applicants must submit the completed Broker-Dealer Application and supporting documentation, including the most recent audited annual report, current Form BD Status Report, the latest SEC Form X-17A-5 Focus Report or applicable FFIEC 031 report for banks, a service-level or scope-of-service agreement, MSRB Rule G-37 filings for the prior 12 months or an explanation of nonapplicability, and the completed and signed Levine Act Campaign Contribution Disclosure Form. The application also requires five comparable local-government references and completion of the Broker-Dealer Attestation DocuSign form. Inclusion is not guaranteed, and prior authorization does not confer preference or continued approval.
Classification Codes
Smart Codes
Specifications
Timeline
Requirements
- Minimum 5 references
- Client point of contact required for each reference
Documents
| Title | Date Posted |
|---|---|
| Broker-Dealer_Application_(BDA)_2026.pdf | Sep 16, 2026 05:44 PM |
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