County of Orange Broker-Dealer Application (BDA) 2026 - BDA 23-000122
John Wayne Airport (County of Orange, John Wayne Airport)Airport Authority · CA- Due
- Oct 21, 2026
- Deadline passed
- Posted
- Sep 16, 2026
- Primary contact
- David Mojarro
- (714) 567-5025
The 30-second brief
The County of Orange is soliciting applications from qualified Broker-Dealers to establish an Approved Broker-Dealers List for investment-related services, including fixed-income transactions across multiple asset classes such as U.S. Treasuries, municipal securities, and commercial paper. Applicants must meet strict regulatory standards including SEC and FINRA registrations, SEC Rule 15c3-1 net capital compliance, and MSRB Rule G-37 disclosures. The submission deadline is October 21, 2026, with a question deadline of October 14, 2026. Evaluation criteria include client services, references, investment types, trade ID confirms, net capital requirements, and primary dealer status.
Client Services (20%), References (20%), Investment Types (15%), Trade ID Confirms (15%), Net Capital Requirement (SEC Rule 15c3-1) (10%), Primary Dealer Status (5%), Electronic Trading Platform (5%), Research Portal (5%), Firm/Personnel Experience (5%)
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Summary
The County of Orange is soliciting applications from qualified Broker-Dealers to establish an Approved Broker-Dealers List for investment-related services, including fixed-income transactions across multiple asset classes such as U.S. Treasuries, municipal securities, and commercial paper.
Applicants must meet strict regulatory standards including SEC and FINRA registrations, SEC Rule 15c3-1 net capital compliance, and MSRB Rule G-37 disclosures. The submission deadline is October 21, 2026, with a question deadline of October 14, 2026. Evaluation criteria include client services, references, investment types, trade ID confirms, net capital requirements, and primary dealer status.
EVALUATION CRITERIA
REQUIRED ATTACHMENTS
A completed Broker-Dealer Application, A copy of the firm’s most recent audited Annual Report, A copy of the firm’s current Form BD Status Report, A copy of the firm’s most recent SEC Form X-17 A-5 “Focus Report” or most recent Consolidated Reports of Condition and Income for A Bank with Domestic and Foreign Offices – FFIEC 031, A copy of the firm’s service level agreement or scope of service agreement, MSRB Rule G-37 filing for the past 12 months, Levine Act Campaign Contribution Disclosure Form
- Submit to
- https://procurement.opengov.com/portal/ocgov/projects/303602/document?projectId=DBA 23-000122
- Scope location
- Santa Ana, CA
- Reported agency
- County of Orange
Questions about this RFO
How do I respond to this RFO from John Wayne Airport (County of Orange, John Wayne Airport)?
Review the full solicitation document for submission requirements, evaluation criteria, and deadlines. The submission deadline is October 21, 2026. Be sure to include all required attachments as outlined in the solicitation. Submissions should be delivered to: https://procurement.opengov.com/portal/ocgov/projects/303602/document?projectId=DBA 23-000122. For questions, contact David Mojarro.
Can small businesses or minority-owned firms bid on this RFO?
Most government agencies, including John Wayne Airport (County of Orange, John Wayne Airport) in CA, encourage participation from small businesses, minority-owned, women-owned, and disadvantaged business enterprises (MBE/WBE/DBE). Check the full solicitation for any small business participation goals.
What happens after the RFO submission deadline?
After the deadline, the issuing agency reviews all submissions against the stated evaluation criteria. This typically includes a compliance check, technical evaluation, cost analysis, and may involve oral presentations with shortlisted vendors.
Can I ask questions about this solicitation before submitting?
Yes, most solicitations allow vendors to submit questions during a designated period. The primary contact is David Mojarro at (714) 567-5025. Questions and answers are typically shared with all prospective bidders.
Show 4 more questions
What are the evaluation criteria for this solicitation?
This solicitation includes specific evaluation criteria that will be used to score proposals. The criteria include: "Client Services (20%), References (20%), Investment Types (15%), Trade ID Confirms (15%), Net Capital Requirement (SEC Rule 15c3-1) (10%), Primary Dealer Status (5%), Electronic Trading Platform (5%),..." Vendors should carefully align their proposals with each criterion to maximize their score.
Where can I find more RFPs from John Wayne Airport (County of Orange, John Wayne Airport)?
All active and historical solicitations from John Wayne Airport (County of Orange, John Wayne Airport) are tracked and searchable. As a airport authority agency, John Wayne Airport (County of Orange, John Wayne Airport) regularly publishes solicitations. Visit the agency profile to see current open bids, past contracts, vendor relationships, and decision-maker contacts.
What documents are required to bid on this RFO?
Requirements vary by solicitation, but common documents include a technical proposal, cost/price proposal, proof of insurance, relevant certifications, past performance references, and any forms specified in the solicitation. This solicitation specifically requires the following attachments: A completed Broker-Dealer Application, A copy of the firm’s most recent audited Annual Report, A copy of the firm’s current Form BD Status Report, A copy of the firm’s most recent SEC Form X-17 A-5 “F. Review the full document from John Wayne Airport (County of Orange, John Wayne Airport) for the complete list.
What is the scope of this project?
This solicitation defines a specific project scope. The scope covers the following locations: Santa Ana, CA. Review the full solicitation for detailed scope requirements.