WebJan 29, 2024 · Electronic Blue Sheet (EBS) data files, which contain both trading and account holder information, provide regulatory agencies with the ability to analyze a … 1. For a blue sheet request with multiple issues under the same investigation … WebJul 8, 2024 · From February 2014 through April 2024, Morgan Stanley submitted at least 869 inaccurate blue sheets to SEC and FINRA, misreporting information on at least 156,678 options transactions. …
CBOE Regulatory Circular RG12-162 C2 Regulatory Circular …
Websubmit blue sheets, when requested, using three additional formats has been extended to May 1, 2013 . ... EBS reporting requirements to November 30, 2012 and May 1, 2013 , to allow broker-dealers additional time to implement the following changes to comply with the new requirements. Please note, however, WebSTEP 1. Import or connect your data. STEP 2. Bluesheets extracts your data. STEP 3. Send to your favorite tools. STEP 4. Automate. Connect, upload or send your data (invoices, purchase order etc.) to bluesheets – or trigger data … criminology minor usf
Blue Sheet Reporting (SEC Rule 17a-25) and Large Trader Reporting …
WebJul 14, 2015 · FINRA made several referrals to the Commission based on the incorrect trade data. Detailed trade data on “blue sheets,” named for the original paper form, help the SEC investigate conduct such as insider trading and market manipulation, and reconstruct trading after extreme market volatility. WebApr 6, 2024 · Washington D.C., April 6, 2024 — The Securities and Exchange Commission today announced that Cantor Fitzgerald & Co. has agreed to pay $3.2 million to settle charges for providing the SEC with incomplete and inaccurate securities trading information known as “blue sheet data.” WebA single platform to view your CAT reports, underlying source data, related firm and client reporting and corresponding books and records Continuous reconciliation and validation across all CAT inputs and related firm and client reporting, including internal and … bud light 6 pack costume