FINRA/NYSE TRF Delay in Trade Report Processing to FINRA and DTCC

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.

There are no actions that need to be taken by clients as a result of this issue. Questions can be forwarded to FINRA Business Services.