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.
ARMA can analyze manuals, written supervisory procedures and regulatory requirements to identify gaps, explain changes and route work to the appropriate owner. It can detect outdated language, suggest new procedural language and draft revisions for approval. ARMA also connects verification steps, ownership, approvals and completion records across teams, while its audit and version lineage provides a record of the firm’s supervisory environment. Regulatory Rewind is designed to reconstruct that environment at a particular point in time.
FINRA’s 2026 Annual Regulatory Oversight Report discusses governance, testing, monitoring, documentation and human-in-the-loop review for generative AI, while Regulatory Notice 24-09 explains that existing regulatory obligations continue to apply when firms use GenAI. FINRA Forward provides one example of the regulatory change work ARMA is designed to support: identifying a development, understanding what changed, connecting it to the firm’s existing governance environment and keeping the resulting work and evidence together. ARMA provides bespoke AI automations for firm-specific workflows, extending the platform to processes beyond its standard regulatory and compliance workflows.
