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Entries in blue sheets (2)


FINRA fines Deutsche Bank $6 million for missing and late trade info

Deutsche Bank Securities Inc. paid a $6 million fine for failing to provide complete and accurate trade data to FINRA and the SEC. It was the biggest fine the Wall Street regulator has imposed for so-called blue sheet violations.

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Credit Suisse pays $4.25 million for ‘blue sheet’ compliance gaps

Credit Suisse Securities (USA) LLC agreed Monday to pay $4.25 million for submitting deficient information to the SEC over a two-year period about trades by customers, commonly referred to as “blue sheet data.”

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