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How ARMA supports regulatory change under FINRA Forward

ARMA connects regulatory developments to the policies, procedures, controls and operational work they may affect. Phase I of the platform is engineered specifically for FINRA-member broker-dealers. ARMA's Regulatory Lifecycle Tracker shows rule status, lifecycle progress and implementation status, helping teams follow a regulatory development as it moves toward action. Source evidence remains connected to the resulting work.

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2 min readInsights

What is FINRA Forward?

cuttone. TAC and ARMA are publishing a series on FINRA Forward for compliance, legal, operations and technology teams at FINRA member firms. Each article will focus on a specific part of the initiative: what FINRA has proposed or changed, where an item stands in the rulemaking process, and what firms may need to monitor or implement. The aim is to separate regulatory developments that require action from proposals still under review and tools that firms can choose whether to use.