Information Memos

Information Memo  12-27 is available for viewing or printing with Adobe Acrobat
Get Adobe Acrobat Reader

Number 12-27 26 Nov 2012
 
ATTENTION:    
 
TO:   ALL MEMBERS AND MEMBER ORGANIZATIONS
 
SUBJECT:   ENHANCED ELECTRONIC BLUE SHEET SUBMISSIONS - UPDATE

The New York Stock Exchange LLC ("NYSE") and NYSE MKT LLC ("NYSE MKT", together with NYSE, the "Exchange"), in conjunction with other interested members of the Intermarket Surveillance Group (collectively, the "ISG interested members"), have extended the effective date for firms to submit data elements for enhancing the Electronic Blue Sheets (EBS) to May 1, 2013 to allow broker-dealers additional time to implement the enhancements.

Exchange member organizations (collectively referred to as "firms") must add the following fields to the EBS format by November 30, 2012, as currently required, but are not required to be populated with regard to EBS requests from Exchange and other interested ISG members until May 1, 2013. Firms may voluntarily submit the values of these fields starting November 30th and they will be accepted.

Order Execution Time

Large Trader Identification Number 1

Large Trader Identification Number 2

Large Trader Identification Number 3

Large Trader Indentiofcation Qualifier

Primary Party Identifier (referred to as Entering Firm Identifier in NYSE Info Memo 12-1)

Contra Party Identifier (referred to as Executing Firm Identifier in NYSE Info Memo 12-1)

Currently, EBS requests are made under specific security symbols and option symbology. As noted in NYSE Regulation Information Memo 12-1, firms will be required to submit EBS, when requested, using three additional formats:

account number and date;

account number, symbol and date; or

date range and Primary Party Identifier

For more details about the definition of the fields listed above, the changes to the Blue Sheet record layout and transaction types identifiers, Blue Sheet testing, and the Large Trader request from the SEC, please refer to FINRA's Regulatory Notice 12-47.

Attachment A to this Bulletin outlines the updated EBS record layout and Attachment B outlines the updated transaction type identifiers.

Additionally, please refer to  HYPERLINK "www.finra.org/bluesheets/faq%20%20" www.finra.org\bluesheets\faq on the FINRA website for the most recent version of the Electronic Blue Sheet "FAQ".


NYSE Regulation, Inc




1. The ISG interested members include the following exchanges and self-regulatory organizations (SROs): BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated (CBOE), C2 Options Exchange, Incorporated (C2), CBOE Stock Exchange, LLC (CBSX), Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Association (FINRA), International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., NYSE, NYSE MKT, and NYSE Arca, Inc.




Attachments

Electronic Blue Sheets Ex A and Ex B 11-23-12.pdf


Back