State Teachers Retirement System of Ohio
State Teachers Retirement System of OhioContents:Reporting and Registration RequirementsIntroduction LetterFixed Income QuestionnaireReporting and Registration Requirements Under Ohio LawThe operation of the Ohio public pension plans is governed by specific statutes under Ohio law. These can be found in Chapters 101, 102, 145, 742, 3307, 3309 and 5505 of the Ohio Revised Code.Persons/entities doing business, or seeking to do business, with any of the Ohio public pension plans or making campaign contributions to, or on behalf of, a Board member or candidate for a Board position are governed by, and may be required to register or file reports with, the Joint Legislative Ethics Committee, the Ohio Ethics Commission, and/or the Ohio Secretary of State. The Ohio public pension plans cannot provide guidance about these requirements. To determine if these provisions apply to you, please contact the following agencies: Joint Legislative Ethics Committee 50 West Broad Street, Suite 1308Columbus, Ohio 43215614-728-5100 Ethics Commission30 West Spring Street L3Columbus, Ohio 43215614-466-7090 Secretary of State180 East Broad Street, 16th FloorColumbus, Ohio 43215614-466-2665 Ohio public pension plans advocate full compliance with all applicable laws, registration and reporting requirements. The duty to comply, and to register or report as applicable, is the sole responsibility of the individual or entity conducting the activities described above. R.C. 101.97. Contingent compensation agreements prohibited. This is an incentive compensation plan.(A) Except as provided in division (B) of this section, no person shall engage any person to influence retirement system decisions or conduct retirement system lobbying activity for compensation that is contingent in any way on the outcome of a retirement system decision and no person shall accept any engagement to influence retirement system decisions or conduct retirement system lobbying activity for compensation that is contingent in any way on the outcome of a retirement system decision. (B) Division (A) of this section does not prohibit and shall not be construed to prohibit any person from compensating the person's sales employees pursuant to an incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly situated sales employees who are not retirement system lobbyists. State Teachers Retirement System of Ohio275 East Broad Street Columbus, OH 43215-3771Dear Interested Party:RE:Ohio Headquartered and Emerging Brokerage Firm ProgramThank you for your interest in the State Teachers Retirement System of Ohio (STRS Ohio). Our policy is to focus our trading activities with brokers who provide value-added research and execution services. STRS Ohio has a program designed to increase the use of Ohio brokers and brokers that are owned and controlled by minorities and/or women. If your firm is:Ohio Headquartered, orA Non-Ohio Minority Broker, orA Woman-Owned BrokerSTRS Ohio encourages you to please complete and return the fixed income questionnaire provided below. STRS Ohio does not guarantee your firm will be selected for the approved Fixed Income Broker List, but will give your firm an equal opportunity to be evaluated with other brokers competing for STRS Ohio fixed income business.Should you need to contact one of our fixed income analysts directly, click here for our coverage list. Please mention that your firm is competing as an Ohio headquartered, non-Ohio minority or a woman-owned firm when contacting any of our associates. If you have any questions, please contact the following members of the STRS Ohio fixed income team.Ryan Collinscollinsr@614-227-4021Mabel Brownbrownmab@614-227-4034STRS Ohio Fixed Income Brokerage QuestionnaireNote: Failure to completely and accurately answer all questions may affect your opportunities.Please transfer pertinent information from attachments/exhibits directly onto this form and send all information to:State Teachers Retirement System of OhioAttn: Traci Graves275 E. Broad StreetColumbus, OH 43215-3771a)Provide the name of the entity for which the following financial information is applicable to: As of(mm/dd/yyyy)What is your firm’s:b)Net Assets $From:ReportPagec)Equity Capital$From:ReportPaged)Revenues$From:ReportPagee)Net Income$From:ReportPageAlso, please provide a copy of the most recent Broker Dealer form (“BD”), Focus Report, and audited financial statements for your firm.a)Briefly discuss the ownership structure of your organization.b)Who are the owners and what percent of the firm do each own?c)What are the objectives of your firm’s business plan and the steps that it is taking to achieve those objectives?Is your firm headquartered in Ohio?YesNoIs your firm a minority-owned and/or woman-owned & controlled firm?YesNoIf minority-owned, please indicate firm’s minority group:3)Provide fixed income reference(s) naming customer(s) of similar fixed income asset size as The State Teachers Retirement System of Ohio (STRS Ohio).Reference #1Fixed Income Assets:$Contact Person:Contact Person’s Phone Number:Reference #2Fixed Income Assets:$Contact Person:Contact Person’s Phone Number:Reference #3Fixed Income Assets:$Contact Person:Contact Person’s Phone Number:4. a)Does your firm provide economic, credit, and/or quantitative research?YesNob)Number of fixed income research staff?Name(s):c)What is their area(s) of focus?d)Is there web access? Link:Include any economic, credit, or quantitative research analysts and a sample of their work.How many fixed income traders does your firm employ?Name(s):Number of fixed income salespeople?Name(s):Number in underwriting?Name(s):Over the past three years, what has been your firm’s average daily trading volume in:Maintain an Inventory?Treasuries$YesNoAgencies$YesNoCorporates$YesNoStructured Products$YesNoFor the past 12-months what is the total number of corporate/structured product new issues that your firm has been allocated bonds from? 3267075-190500On a separate sheet of paper, provide the name, deal size and allocation your firm received for each corporate and/or structured product new issue for the past 12 months. For multi-tranche deals, please list each tranche individually.Is your firm an approved issuer for:FNMAYesNoFHLMCYesNoFHLBYesNoWhat has been your involvement over the past 12-months in each of these programs?8.a) Are the firm’s trades cleared through another firm?YesNoIf yes, through:What is your firm’s DTC number?b) Are your trades guaranteed?YesNoIf yes, by:c) Are your trades insured?YesNoIf yes, by:What regulatory bodies is the firm registered with and/or does it report to?In the past three years, has the firm or any individual in the firm been, involved in any law enforcement investigation, civil litigation, arbitration, or disciplinary action?YesNoIf yes, please explain in detail:9.Does your firm commit capital for fixed income trading?YesNoIf yes, how much?$a)Specifically, who would be covering STRS Ohio:Name:Phone Number:Email:Years of Experience:Other information:b)Please identify STRS Ohio fixed income associates you have been in recent contact with and the method of communication.c)Discuss what unique services or strengths your firm can provide STRS Ohio that would cause us to consider using your firm over one currently on our approved list.On a separate sheet of paper, please provide the names, addresses, and biographies of those people who will be providing service to STRS Ohio. ................
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