Richard W. Berry is Executive Vice President and Director of Dispute Resolution Services (DRS).
Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices-New York, Boca Raton, Chicago and Los Angeles-and the New York Case Administration unit.
Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute
Data Definitions for Bond Market Sentiment. Data fieldDefinitionAll SecurtitiesData on All TRACE eligible securities reported on the day and disseminated.Customer BuyData calculated on all trades reported to TRACE and disseminated where the reporting firmindicates it bought from a customer who is not a FINRA member firm. Customer SellData calculated on all trades reported to
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Beginning Friday, September 29, 2023, an enhancement to the client certificate request process will be introduced, and FINRA API clients will have additional encryption options during their recertification process. Clients will still be able to retain the client certificate size of 1024 bit, but will now be given choices to increase this size upon a certificate renewal.
Please see the technical
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of September 22, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter September 21,
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the new SEC rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure that were adopted on July 26, 2023. The SEC adopted final rules requiring disclosure of material cybersecurity incidents on Form 8-K and periodic disclosure of a registrant’s cybersecurity risk management, strategy and governance in annual reports.
