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Technical Notice

FINRA/Nasdaq TRF Issue Recap

April 02, 2024

The FINRA/Nasdaq TRF Carteret experienced an issue on Monday, April 1, 2024 that affected a subset of users due to connectivity issues with a number of TRF ports. While the issue was ongoing, Nasdaq advised the affected firms to use the FINRA/Nasdaq TRF Chicago as an alternative trade reporting facility to submit their trade reports.1 Nasdaq was able to resolve the issue before system close yesterday by restarting the ports, which allowed users to reconnect to the FINRA/Nasdaq TRF Carteret. All FINRA/Nasdaq TRFs2 are operating normally today.

Please see the Nasdaq Market System Status page for 4/1/24 with regards to alerts for this issue.

If firms have further questions, they should contact Nasdaq Market Operations at (212) 231-5180.

1 Affected firms also could have used the FINRA/NYSE TRF or the Alternative Display Facility (ADF) to submit their trade reports if they had previously been authorized for trade reporting to either of the facilities.

2 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.