Approved Broker/Dealer Investment Pool Qualification
City of Raleigh > Finance Department > Treasury Services
Original Solicitation Links
Contact
Submission Instructions
Description
The City of Raleigh is seeking qualifications from broker/dealer firms for inclusion in an approved Broker/Dealer Investment Pool supporting the City's approximately $1.8 billion investment portfolio. The pool will include no more than five qualified firms and is intended to support transactions involving U.S. Treasury and agency obligations, bank accounts, money market accounts, investment pools, and other permitted instruments. Respondents must complete the broker/dealer qualification questionnaire and provide information regarding firm structure, regulatory standing, securities-trading experience, account representatives, transaction volumes and failure rates, fees, comparable public-sector clients, litigation or regulatory investigations, custody and delivery procedures, and compliance with applicable law and the City's Investment and Portfolio Policy. Required supporting materials include current audited financial statements, proof of NASD certification unless the institution is a bank, and a signed certification confirming review of the City's policy and applicable North Carolina statutes. Inclusion does not guarantee any transaction volume or value.
Classification Codes
Smart Codes
Specifications
Timeline
Requirements
- Minimum 3 references
- Client point of contact required for each reference
Documents
| Title | Date Posted |
|---|---|
| City of Raleigh Broker-Dealer Questionnaire (FINAL).pdf | Sep 24, 2026 10:54 AM |
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