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BLUE SHEET FORMPROPOSED ACTION:Name: Date: Current Rank: Date attained: College/School/Division: Department: Proposed Action:ReappointmentRepresented Full Time4th Year ReviewNonRepresentedTO BE COMPLETED
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The blue sheet form is a document used by the Securities and Exchange Commission (SEC) to request specific information about trades and transactions from brokerage firms.
Broker-dealers and investment advisors who execute trades on behalf of their clients are required to file the blue sheet form when requested by the SEC.
To fill out a blue sheet form, individuals must provide detailed information about the transactions, including security identifiers, trade dates, quantities, prices, and the parties involved in the transactions.
The purpose of the blue sheet form is to collect data on trading activity to assist the SEC in monitoring market behavior and ensuring compliance with securities laws.
The blue sheet form must report information such as the security name, trading dates, involved parties, transaction amounts, and the nature of the transaction (buy/sell).
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