RE: BofA Securities is requesting an Institutional Suitability Certificate (FINRA 2111) document for Orange County Board of Commissioners.{ID873263}

[Travis Myren]

Commissioners,

 

Gary has taken care of this.

 

Travis

 

From: compl...@certcomp.spglobal.com <compl...@certcomp.spglobal.com>
Sent: Monday, February 9, 2026 9:46 AM
To: ALL_BOCC_MANAGER_CLERK <OCB...@orangecountync.gov>
Subject: BofA Securities is requesting an Institutional Suitability Certificate (FINRA 2111) document for Orange County Board of Commissioners.{ID873263}

 

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Dear Officer,

I hope this email finds you well.

We are reaching out on behalf of our client BofA Securities who uses S&P Global Market Intelligence’s Certificate Compliance product offering to collect and store regulatory documents. To service our clients, we are proactively requesting the completion of the Institutional Suitability certificate that is intended to address a requirement introduced by FINRA Rule 2111.
FINRA adopted Rule 2111 which requires brokers to ascertain the suitability of their clients. A SIFMA working group approved the document as a means of confirming this suitability for institutional clients. Completing and returning this certificate is required and beneficial for future transactions with BofA Securities. This is not prompted by recent trading activity.


Please sign the attached blank S&P Global Market Intelligence 2111 form and email it to icompli...@spglobal.com.

 


Best Regards,
Certificate Compliance Group
S&P Global Market Intelligence
Phone: 212-438-2220
icompli...@spglobal.com
S&P Global Market Intelligence Regulatory & Compliance Solutions




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