Blue sheet reporting

Sheet reporting

Blue sheet reporting

How can the answer be improved? A Blue Sheet is launched from the opportunity record in your CRM. Feb 15 · A blue sheet is a report sent by a clearing firm to provide information to the Securities Exchange Commission ( SEC) about its activities. Because electronic blue sheet reporting is done through. For several decades the Commission requested this information by mailing questionnaire forms ( known as " blue sheets" because of the color on which the forms were printed) to broker- dealers to be manually completed mailed back to the Commission. Firms are expected to provide complete accurate timely Blue Sheet data in response to regulatory requests.

These documents are sent by request from the SEC and they are also used by other regulatory agencies to monitor trading activities. Blue sheets are requests sent reporting blue by regulators to market makers brokers for information on trading activity to spot fraud insider trading. The Blue Sheet reporting is reporting an electronic version of the Strategic Analysis Worksheet you learned how to use in Strategic Selling®. If a clearing firm receives a batch file from a firm that consolidates executions, can that same consolidated execution report be submitted on the blue sheets? If a firm determines that it does not have any Blue Sheet data to report in response to a request,.

The electronic blue sheets infrastructure could not be leveraged for the consolidated audit trail because the consolidated audit trail will require real- time reporting of audit trail information and real- time reporting is incompatible with the electronic blue sheets infrastructure. Blue sheet reporting. Blue Sheet Reporting ( SEC Rule 17a- 25) and Large Trader reporting Reporting Rule ( SEC Rule 13h- 1) Compliance Enabled By n- Tier' s Compliance Workbench News provided by. An electronic blue sheet is an electronic request for detailed information about trades sent to clearing firms market makers by the Securities , broker dealers Exchange Commission ( SEC. The information includes the security' s name transaction size , price, the date traded a. No, the underlying trades that were reported to the reporting tape must be reported on the blue sheets. Blue Sheet data files which contain both trading , account holder information reporting provide regulatory agencies with the ability to analyze a firm’ s trading activity. The Blue Sheet was designed to assist you in managing your opportunities for single sales objectives.


Sheet reporting

Provides an automated monitoring capability over all your trade reporting, including for example AML, Blue Sheets, Trace, ACT, OATS, Large Option Position Reporting ( LOPR) and, Advertised Trades. Enables 100% verification of submitted reporting with a sustainable process. Blue Sheet Strategic Analysis Version: 1. 0 Date: November Page 5 timing, the information required and an events log that will help focus the next phase of the account management.

blue sheet reporting

Summary The Blue Sheet approach is a helpful process in that it provides an. Provides an automated monitoring capability over all your trade reporting, including for example AML, Blue Sheets, Trace, ACT, OATS, Large Option Position Reporting ( LOPR) and, Advertised Trades.