NASD Notice to Members 06-33 - June 2006

Frequently Asked Questions regarding Electronic Blue Sheet Submissions; Remediation Dates Extended

Executive Summary

This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a validation of all required EBS data to ensure that EBS submissions are consistent with current standards and accurately reflect members' books and records. In addition, the ISG grants two extensions of time for remediation, one deadline that applies to the Account Type Identifier and the Exchange Code fields, and another that applies to all other EBS fields. The following self-regulatory organizations (SROs), acting jointly as members of the Intermarket Surveillance Group (ISG), prepared this Notice:

  • American Stock Exchange LLC (AMEX)
  • Boston Stock Exchange, Inc. (BSE)
  • Chicago Board Options Exchange, Inc. (CBOE)
  • Chicago Stock Exchange, Inc. (CHX)
  • International Securities Exchange (ISE)
  • NASD Inc. (NASD)
  • NASDAQ Stock Market LLC (NASDAQ)
  • National Stock Exchange (NSX)
  • New York Stock Exchange, LLC (NYSE)
  • NYSE Arca (NYSEArca)
  • Philadelphia Stock Exchange, Inc. (PHLX)