Investment Banking and Underwriting Firms Services

The vendor is required to provide pre-qualified list of public finance bond underwriters and investment bankers for the fiscal year starting on July 1, 2025 through June 30, 2026.
- The types of public debt financing vehicles your firm is staffed and qualified to handle, e.g., general obligation bonds, single family mortgage and multi-family revenue bonds, transportation revenue bonds (distinguish between airports, harbors, and highways), health system revenue bonds, higher education revenue bonds, private activity revenue bonds, certificates of participation, and municipal leases
- Other products and/or services that your firm is capable of providing the state, e.g., short-term financings, direct purchase/private placements, credit lines to support underwriting, and other types of liquidity facilities.
- The names and telephone numbers of at least three clients who may be contacted, two of whom services were rendered by you during the preceding year.
- The key personnel above, indicate the person who will serve as the contact person on a transaction and provide that person’s direct email address, mailing address, phone number, and fax number.
- The contact is expected to attend conference calls, rating agency presentations, and investor meetings, as required.
- National marketing program.
- explain your financing expertise, e.g., the number and diversity of financings handled by the firm, unique products or services offered, areas of specialties, etc.
- Describe your institutional/retail and national/regional marketing programs.
- Indicate the firm’s total capital, equity capital, net capital, and excess net capital as of December 31, 2024, 2023, 2022, 2021, and 2020, in this specific sequence of years.
- Identify the amount of the firm’s excess net capital committed to support municipal bond underwriting and explain the maximum size of a long-term, taxable/tax-exempt bond issue the firm would be willing to underwrite given the firm’s current capital position.
- Litigation. disclose any lawsuits or administrative actions taken against you by the federal government, a state, a municipality, or any other entity during the past three years related to public finance bond underwriting and investment banking.