Technical NoticeFINRA/NYSE TRF Delay in Trade Report Processing to FINRA and DTCC
January 28, 2021
On Wednesday, January 27, 2021, starting at 2:40 p.m. ET, the FINRA/NYSE TRF experienced a technical issue resulting in delays when submitting trade information to DTCC and FINRA. Trade reports to the Consolidated Tape were not impacted, and all trades were submitted to clearing by 8:30 p.m. ET on January 27, 2021.
FINRA is working with the NYSE TRF to receive any trades that were missing from the audit trail.
Classic U4 Retirement Webinar
During this webinar, FINRA will discuss the enhanced Form U4 filing process in FINRA Gateway and the upcoming retirement of the Classic CRD U4 effective April 5, 2021.