Bond Underwriting and Investment Banking Services

Overview

Battery Park City Authority d/b/a Hugh L. Carey Battery Park City Authority (“BPCA”) is issuing this request for qualifications (“RFQ”) requesting statements of qualifications (“Qualification Statements”) for underwriting and investment banking services, as more particularly described in Exhibit A: Scope of Work (the “Work”) from qualified underwriting firms (“Respondents”) for a five-year period which will begin with the selection of the
underwriter pool. Respondents must be registered with FINRA and/or the SEC, to pre qualify as eligible to serve as bond underwriters in connection with the issuance of revenue bonds by BPCA to finance its five-year capital improvement plan and/or to refund outstanding bonds (the “Proposed Bonds”). BPCA intends to establish a qualified pool of underwriters for senior manager and co-manager (“BPCA Qualified Underwriter List” or “BQUL”). BPCA will select from the BQUL firms to serve as senior or co-manager on future Proposed Bonds.

Firms selected for the qualified pool for senior manager will automatically also qualify for the pool for co-manager.

BPCA may terminate, amend, or extend the underwriter pool at any time prior to the end of the initial five-year period if it is determined to be in the best interest of BPCA.

BPCA will evaluate responses to this RFQ based on the criteria set forth in Section VII and intends to develop and maintain a pool of firms qualified to provide senior and co-manager underwriting services for negotiated transactions. BPCA reserves the right to utilize any of the qualified firms in the capacity of co-senior manager on an issue-by-issue basis. This RFQ will not assure any chosen underwriter of selection for any transaction in any capacity. Selection for the

BQUL provides nothing more than the possibility of being selected for participation in future transactions at BPCA’s sole discretion.

Interested parties may download the complete RFQ via the link provided below or by visiting BPCA’s website at https://bpca.ny.gov/apply/rfp-opp/. All Proposals must meet the requirements listed in the RFQ.

Diversity

BPCA is committed to diversity and equal opportunities among its contractors and consultants. It is the goal of BPCA to include diverse firms in its investment banking activities. New York State-certified Minority-Owned Business Enterprises (“MBE”), Women-Owned Business Enterprises (“WBE”) and Service-Disabled Veteran-Owned Business Enterprises (“SDVOB”) are encouraged to submit a RFQ. It is the Authority’s intention to include qualified diverse firms in its underwriting teams.

Restricted Period

Restricted Period: Proposers are restricted from making contact with anyone other than the Designated Contacts (identified below) during the period from the time of publication of this advertisement through approval of the procurement contract by BPCA (the “Restricted Period”). Employees of BPCA are required to record certain contacts during the Restricted Period, including, but not limited to, any oral, written or electronic communication with a governmental entity under circumstances where a reasonable person would infer that the communication was intended to influence the governmental entity’s conduct or decision regarding the governmental procurement, and to make a determination of responsibility based, in part, upon any such contact. Failure to abide by this process may result in a finding of non-responsibility