Blue Sheets

New Firm Contact Fields
Regulation Filing Account Administrators will be responsible for providing and maintaining primary and secondary contact information in the new Firm Contact fields for Blue Sheets. In order to enable FINRA to process Blue Sheets data requests in a timely manner, the most current Blue Sheets Firm Contact information is needed. Therefore, any changes to such contact information should be promptly updated by member firms in the new Firm Contacts screen and via e-mail. 


The Blue Sheets System is used to collect information pertaining to a "Blue Sheets Request" that is generated by FINRA. The system allows for Blue Sheets data gathering in response to a request to be entered manually or uploaded as a file.

 

With this system you can:

 

  • Create and submit Blue Sheets filings.
  • View a list of filings due, draft filings, and submitted filings for your firm.
  • Edit a draft filing.
  • Delete a draft filing.
  • Upload a filing for submission to the Blue Sheets system.

 

Note: An FTP option is available to submit a filing through the OATS private network. FTP is not available through the Web site. Contact FINRA at (800) 321-6273 if you are interested in using this service.

 

You may go directly to the Regulation Filing Applications by clicking https://RegFiling.nasd.com.