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FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions

FINRA and the other members of the Intermarket Surveillance Group have extended the effective dates for firms to submit new data elements for Electronic Blue Sheets to correspond with the recent extension by the SEC of the implementation of SEC Large Trader Reporting Rule (SEA Rule 13h-1). Electronic Blue Sheets are discussed in the Broker-Dealer Guide, Recordkeeping Chapter.

Effective Dates: November 30, 2012, and May 1, 2013

View release in full here(links externally to FINRA website).

Tags

Regulated Activities
Trade Reporting Trading
Sub-Activity
Blue Sheets
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA