Broker-Dealer Application (BDA) 2026

The County of Orange is seeking to refresh its “Approved Broker‑Dealers List” for investment‑related services. Interested broker‑dealers must submit a comprehensive electronic application by the deadline, demonstrating compliance with SEC, FINRA, and California licensing requirements, net‑capital standards, and conflict‑of‑interest policies. The County will evaluate applicants using a weighted scoring matrix covering client service, references, investment capabilities, trade confirmation speed, capital strength, primary dealer status, electronic trading platforms, research portals, and personnel experience. Successful firms will be added to the approved list and may provide trade execution, settlement, reporting, and research services to the County’s investment portfolio. • Application deadline: Oct 21, 2026 (3 pm) • Questions due: Oct 14, 2026 (3 pm) • Required documentation includes audited financials, SEC/FINRA registrations, net‑capital certifications, MSRB filings, and detailed firm/representative information • Evaluation criteria weighted across 9 categories (total 100 points) • No pre‑bid meeting or site visit required • Primary contact for questions: OC Investments ([email protected]) • Inclusion on the list does not guarantee future business; ongoing compliance is required.