Regulatory Notice 13-16

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

 

Effective Date: November 1, 2013

Executive Summary

FINRA and the other U.S. members of the Intermarket Surveillance Group  (ISG members) have extended the effective date for compliance with certain new data elements for Electronic Blue Sheets (EBS) identified in Regulatory Notice 12-47 to November 1, 2013, to correspond to the recent extension by the SEC for compliance with certain broker-dealer recordkeeping and reporting requirements of SEA Rule 13h-1.

 

Attachment A to this Notice sets forth the EBS record layout and, except for minor modifications noted below, remains unchanged from the version published in Regulatory Notice 12-47. Attachment B to this Notice, which outlines the Transaction Type Identifiers, is unchanged from the version published in Regulatory Notice 12-47.

 

Questions concerning the EBS enhancements should be directed to FINRA EBS Group.

 

The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38.