See Regulatory Notice 20-19 for the latest version of the Blue Sheet Record Layout. Pursuant to FINRA Rules 8210, 82, firms are required to submit Blue Sheet data in a prescribed format. A firm should not submit an empty Blue Sheet data file as this will not be considered an affirmative determination nor responsive to the Blue Sheet request. stating that the firm has reviewed its records and have no Blue Sheet data to submit). If a firm determines that it does not have any Blue Sheet data to report in response to a request, then the firm should send an email with an affirmative determination (i.e.

The posting does not represent that the data file FINRA received was complete or accurate.

Firms should promptly inform the Blue Sheet section of any contact changes by sending an email.įINRA posts Blue Sheet data files that are successfully transmitted to FINRA on FINRA's Request Manager as a means of confirmation of receipt. To access FINRA's Request Manager, go to FINRA Gateway, choose the Request & Filings tab, and then select the “Bluesheet Request” type filter. Firms that do not have entitlement to FINRA's Request Manager should contact (800) 321-6273.įirms are responsible for providing FINRA with the firm's most current Blue Sheet contact information. Incomplete, inaccurate and untimely Blue Sheet data compromises regulators’ ability to identify individuals engaging in insider trading schemes and other fraudulent activity.įINRA sends Blue Sheet requests to firms by email and also posts them on FINRA's Request Manager system as a second means of notification. Firms are expected to provide complete, accurate and timely Blue Sheet data in response to regulatory requests. Electronic Blue Sheet (EBS) data files, which contain both trading and account holder information, provide regulatory agencies with the ability to analyze a firm’s trading activity.

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