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Remarks From the SIFMA Complex Product Forum
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
Staff interpretation of the continuing commissions policy codified in NASD IM-2420.
Thank you Catherine [Weatherford, NAVA President and CEO] and Lee [Covington, SVP & General Counsel, NAVA]. I'd like to begin by acknowledging my friend Mark Casady, the extremely effective chairman of the NAVA board, and thanking him for agreeing recently to serve on the FINRA Board of Governors. Mark, my colleagues and I look forward to working with you.
Indexed annuities have surged in popularity because of the way they incorporate features beyond those found in conventional fixed annuities. Similar to conventional fixed annuities, the taxes on gains in indexed annuities are deferred until you begin receiving distributions.
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
REQUEST FOR COMMENT
Proposed Amendments to Rule 2720
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
Affiliate
Conflicts of Interest
Equity & Debt Offerings
Investment Banking
Qualified Independent Underwriter
Rule 2710
Rule 2720
Underwriting Compensation
Executive Summary
NASD is issuing
