Broker/Dealer Services for Authorized List
California > Coachella Valley Association of Governments
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Submission Instructions
Description
The Coachella Valley Association of Governments, Coachella Valley Conservation Commission, and Desert Community Energy are requesting information from broker/dealers seeking placement on the agencies' Authorized Broker/Dealer List. Qualified firms must meet specified regulatory, licensing, financial-strength, operational, ethical, and experience requirements, including FINRA membership, Securities and Exchange Commission registration, more than five years in operation, institutional or middle-market coverage, delivery-versus-payment capability, and compliance with applicable net-capital requirements. Respondents must submit the completed Broker/Dealer Questionnaire and Certification, employee resumes, recent annual reports or audited financial statements, the previous two years of SEC Form X-17A-5, registration and FINRA broker-check documentation, explanations of applicable disclosure events, samples of fixed-income research or market information, and other requested materials such as research samples, transaction confirmations, publications, and fee schedules. The agencies are also interested in related capabilities including secondary-market access, competitive pricing from multiple inventories, internal credit research, portfolio purchases, market and portfolio analysis, economic projections, newsletters, and online investment or trading platforms.
Classification Codes
Smart Codes
Specifications
Timeline
Requirements
- Professional Liability
- Client point of contact required for each reference
Documents
| Title | Date Posted |
|---|---|
| Broker Dealer RFI Oct 2026 | Sep 18, 2026 10:17 AM |
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