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
Gloria Dalton is Vice President and Head of the Office of International Affairs at FINRA. In this capacity, she leads and facilitates FINRA’s engagement with foreign regulators through bilateral cooperation, information-sharing and participation in multilateral organizations and regulatory forums. Her team also monitors global regulatory developments impacting firms, markets, and investors.
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Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
Smishing is a tactic in which scammers send unsolicited messages to targets over short message service (SMS), or text messages. A newer development with this type of fraud involves scammers requesting that targets respond to messages to get around protections that automatically deactivate hyperlinks in messages received from unknown numbers.
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Notice of Annual Meeting of FINRA Firms and Proxy
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 17a-3 Records to be made by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
When you’re young, it’s easy to feel like there’s no rush to save for retirement. But before you know it, you might find yourself in your 50s or 60s and nowhere near your retirement savings goal. If you’re getting closer to retirement, what can you do to boost your nest egg?
To assist firms in making the transition to the Form BR, NASD used data previously filed on Schedule E, the NYSE Branch Office Application Form, and/or state branch office forms to create a branch record on the Web CRD system for all existing branch offices. The data used was the data on file in Web CRD as of close of business, Friday, October 14, 2005.Firms had until July 3, 2006, to comply with
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
Unless otherwise provided, terms used in the Rule 1010 Series shall have the meaning as defined in Rule 0120.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member
