Regulatory Notice 13-38

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

Effective Date: May 1, 2014

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 13-16 to May 1, 2014. FINRA and the other ISG members have also extended the effective date for compliance with certain other data elements to be consistent with the exemptive relief provided by the SEC, which extended the compliance date for certain broker-dealer recordkeeping and reporting requirements of SEA Rule 13h-1 (Large Trader Rule) from November 1, 2013 to November 1, 2015.

 

Attachment A to this Notice sets forth the EBS record layout, which, except for minor modifications noted below, remains unchanged from the version published in Regulatory Notice 13-16. Attachment B to this Notice outlines the Transaction Type Identifiers, which, except for minor modifications noted below, remains unchanged from the version published in Regulatory Notice 13-16.

 

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