Large Trader Reporting - Relevant Links

The FIF Front Office and Back Office Committee tracks implementation for the SEC Large Trader Reporting at the industry level. The following links point to websites and documents and are updated periodically and maintained on a best efforts basis. Please check the source websites (SEC, Exchange, etc.) for the most current information. Email updates for this page to fifinfo@fif.com

Last updated: November 24, 2015

FIF

SEC

FINRA/ISG

DIRECT EDGE

NASDAQ

  • Jan 17, 2012: ERA #1 - NASDAQ OMX and ISG Enhance Electronic Blue Sheet Submissions

NYSE

  • Nov 26, 2012: 12-27 - Enhanced Electronic Blue Sheet Submissions 
  • Jan 10, 2012: 12-1 - Enhanced Electronic Blue Sheet Submissions-Exchange Rule 410a

BATS

  • Jan 25, 2012: BATS_RC_12-001- BATS Exchange, BATS Y-Exchange and ISG Enhance Electronic Blue Sheet Submissions

CBOE

  • Dec 03, 2012: RG12-162 - Enhanced Electronic Blue Sheet Submissions Updates 

© 2020 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm