Industries We Serve

The underlying technology of ARMA is intentionally designed to be industry-agnostic. We are building a compliance operating system for any rules-driven organization.

Broker-Dealers

Phase I of ARMA is engineered specifically for SEC-governed, FINRA-member broker-dealers, integrating NYSE and NASD supervisory frameworks.

RIAs

Connect SEC and state adviser requirements to policies, owners, review cycles, and audit evidence. See what changed, what is due, and what still needs action.

Embedded Finance

Providing agile, scalable compliance infrastructure for fast-moving financial technology companies navigating complex, multi-jurisdictional regulatory environments.

FinTech

Automating complex regulatory filings, maintaining audit trails, and ensuring continuous adherence to evolving regulatory frameworks.

Insurance

Policy, claims, licensing, and market-conduct governance across regulated insurance operations.

Telecom

Continuous oversight for network operations, consumer protection, business operations, and multi-jurisdictional reconciliation.

Nonprofit

Grant, donor, program, and board governance with traceable controls and reporting.

Coming soon

Healthcare

Maintaining HIPAA, FDA, and institutional policy adherence across patient safety, data privacy, and operational workflows.

Coming soon

Transportation

Turn DOT and other transportation requirements into assigned work, tracked deadlines, corrective actions, and audit evidence across safety-critical operations.

Engineered for Complexity

ARMA is an AI-powered regulatory, supervisory, and governance platform designed to streamline and simplify compliance-heavy industries. By leveraging advanced AI technologies, we reduce the burden of protocol management, improve operational efficiency, and ensure seamless adherence to regulatory standards.

Universal Infrastructure

Core Capabilities

Proactive Compliance

Know what needs attention before it becomes an exception. ARMA brings operational status, supervisory work, compliance health, and audit evidence into one view. Leaders can see what is open, who owns the next step, and where intervention is needed.

Command Center

Master Dashboard for Brokerage Operations

System Operational

Business Intelligence & Analytics

JUN 2026SEP 2026

System Lineage & Audit

Company Formed

Nov 2023

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Equity Issuance (W.G.)

Jan 2024

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LLC Doc Update

Mar 2024

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OBA Policy Draft

Jun 2024

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Policy Driven Operations

Turn policies into work your team can act on. ARMA analyzes manuals, procedures, and regulatory requirements to identify gaps, explain what changed, and route the resulting work to the right owner with the source evidence attached.

WSP Management

Current

Needs review

Overdue

Sub-Manual	Completion	Last Updated	Status
General Supervision Sarah Chen (CCO) · v3.2	100%	Apr 1, 2026	Current
Retail Brokerage James Whitfield · v2.9	88%	Mar 28, 2026	Needs Review
Communications Supervision Dana Park · v1.8	67%	Feb 14, 2026	Overdue
AML / CIP / CDD Sarah Chen (CCO) · v4.1	100%	Apr 2, 2026	Current

Every action owned. Every decision evidenced.

When a change requires action, the right work moves with it. ARMA connects the verification steps, ownership, approvals, and record of completion across Compliance, Finance, Legal, HR, and Books & Records so the firm can prove what happened from trigger to resolution.

Regulatory Lifecycle Tracker

Rule Status

Approved

Apr 14, 2026

Lifecycle Progress

Complete

Implementation pending

Teams Notified

Cascade

Cascade triggered

Key Change

Requirement removed

Minimum threshold lifted

What Changed

Before — Prior requirement

✕Minimum equity required for designated accounts
✕Designation after repeated day-trading activity
✕Buying power limits applied to designated accounts
✕Restricted trading if a margin call is unmet

After — Updated requirement

✓Minimum equity designation removed
✓Intraday deficit reviewed in real time or at end of day
✓Trades that would create an intraday deficit can be blocked
✓Cure period, then a freeze if the customer habitually fails

Ready to Transform?

See how ARMA can map to your specific industry's regulatory requirements.

Request a Demo