Underwriter Services

DASNY seeks proposals from qualified firms, registered with the Financial Industry Regulatory Authority (FINRA) and/or the Securities and Exchange Commission (SEC), to serve as Senior Managing Underwriters, Co-Managing Underwriters, and Selling Group Members in connection with the proposed future issuance of bonds by DASNY. It is intended that through this Request for Proposal (“RFP”), one or more qualified underwriters will be selected for inclusion on DASNY’s Qualified Underwriter List (“List”). DASNY expects to sell bond issues through the Personal Income Tax Revenue Bond Program and the Sales Tax Revenue Bond Program during the term of this engagement. Firms included on the List may also be used for other financings that may be undertaken by DASNY during the engagement period. Firms who wish to serve as Selling Group Members are not required to provide a proposal in response to this RFP, but must complete and return the Common Application Coversheet. DASNY may add additional firms as Selling Group Members to its list of underwriters at any time upon demonstration of satisfactory registration requirements. All proposers are responsible for obtaining any addenda issued and posted to DASNY’s website in relation to this procurement. In accordance with State Finance Law § 139-j and § 139-k, this solicitation includes and imposes certain restrictions on communications between Dormitory Authority personnel and an Offeror during the procurement process. The designated staff for this procurement is Madeline Miller, Email: ([email protected]). Contacts made to other Dormitory Authority personnel regarding this procurement may disqualify the Offeror and affect future procurements with governmental entities in the State of New York. Please refer to DASNY's website (www.dasny.org) for DASNY policy and procedures regarding this law, or the OGS website (www.ogs.ny.gov/acpl) for more information about this law. All proposers, domestic and foreign, must be in compliance with New York State business registration requirements. Contact the NYS Department of State regarding compliance. Proposals must be submitted in the full legal name of the proposer, or the full legal name plus a registered assumed name of the proposer, if any.