Financial Advisory (FA) AND Co-Financial (Co-FA) Advisory Services

Scope of Work Requested

The New York State Thruway Authority is soliciting proposals from experienced and qualified consulting and/or financial service firms to provide the following services:

• Act as financial and swap advisor for the issuance of the Authority's bonds, notes, or other obligations or derivatives.
• Provide advisory services for issuances conducted on either a negotiated or competitive basis.
• Deliver special financial advisory services as required by the Authority.

For the purposes of this request for proposal, 'financial advisory services' include swap advisor services.

Who is Requesting

This solicitation is issued by the New York State Thruway Authority ( Authority ).

Background

The Authority requires the services of independent registered municipal advisors, in compliance with the SEC's Municipal Advisor Rule, Section 15B of the Exchange Act. Firms must be registered with both the Securities Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB).

For reference, business enterprises awarded an identical or substantially similar procurement contract within the past five years include:

• C010631 - Acacia Financial Group, Inc.
• C010632 - Public Resources Advisory Group, Inc.
• C010634 - Frasca & Associates, LLC
• C010635 - TKG & Associates LLC
• C010636 - Rockfleet Financial Services, Inc.

Contract Requirements

Firms must:

• Be registered with the SEC and MSRB as independent registered municipal advisors.
• Comply with the SEC's Municipal Advisor Rule, Section 15B of the Exchange Act.

Instructions on Submission

This bid/proposal opportunity is available for download at the NYS Thruway Authority's website: https://pbss.thruway.ny.gov/. Alternatively, a hard copy can be requested via mail by calling the contact listed in the solicitation.

Additional Information

Please note that there is a law in effect regarding lobbying on procurement contracts. Further details about this law and its implementation at the Authority are available on the Authority's website at www.thruway.ny.gov, under Purchasing Services; Other Forms and Documents section; Lobbying Law Forms & Guidelines.

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