Blue Sheets

Electronic Blue Sheet Submission

FINRA and the other interested members of the Intermarket Surveillance Group (ISG interested members)1 are enhancing the Electronic Blue Sheets (EBS) to improve the regulatory agencies' ability to analyze broker-dealers' trading activities.

 

See Regulatory Notice 13-38 for more information.

 

 

Blue Sheet System

The Blue Sheet System is used to collect data resulting from a "Blue Sheet Request" that is generated by FINRA. The system allows the firm to submit their Blue Sheet data electronically by either entering the data manually or uploading as a file.

 

With this system firms can:
 

  • Create and submit a Blue Sheet filing manually by using the Forms link.
  • Upload a Blue Sheet filing to the Blue Sheet System by using the Upload link.
  • View a list of FINRA Blue Sheet requests on the Draft Filings page. This page represents a second notification of the Blue Sheet request in addition to the separate email sent to the firm.
  • View a list of Blue Sheet data files your firm has submitted to FINRA via the  Submitted Filings page. Please note that this page does not indicate that the data file was complete and/or accurate.

 

Note: An FTP option is available to submit a filing through the OATS private network. FTP is not available through the website. Contact FINRA at (800) 321-6273 for more information on using this service.

  

 

Clearing Firm Contact Information for Blue Sheets

Regulation Filing Account Administrators are responsible for providing and maintaining primary and secondary contact information for Blue Sheets. FINRA requires the most current Blue Sheet contact information in order to process Blue Sheet data requests in a timely manner. Firms should promptly submit contact information changes to FINRA's Blue Sheet section.

 

If you have questions, you may contact the Blue Sheet section.

 


 

1 The U.S. members of the ISG include the following exchanges and self-regulatory organizations (SROs): BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., C2 Options Exchange, Inc., CBOE Stock Exchange, LLC, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., FINRA, International Securities Exchange, LLC,
The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, NYSE Arca, Inc., BOX Options Exchange, LLC, Miami International Securities Exchange, LLC and ISE Gemini.