Established in 1975

Lobby for Seamless and Compliant Securities Registration

Annual Events for Regulatory Changes and Updates

Connect with Industry Leaders

Securities Registration Focused Organization Serving Members Nationwide

The Association of Registration Management, Inc. (ARM) is a securities registration focused organization that represents the industry on issues concerning the registration and licensing functions for securities and commodities. Our member firms in the financial and legal industries and government agencies all over the US range from full-service brokerdealers to small regional firms and insurance companies.

Our Mission

We are a working organization existing for the primary purpose of representing the industry on issues that concern the registration and licensing function for securities.

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About Us

ARM came into existence in 1975 when there was a great need for uniformity and simplification of securities registration procedures.  Today, as we approach our 50th anniversary, thanks in part to the tenacious attitude of the people representing and supporting our organization through the years, the industry has an organization that works to ensure its member firms have a resource dedicated to helping these firms achieve the goal of best practices.

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What We Offer

ARM is not just a lobby group. We also believe it is extremely important to have all information that directly affects the operation of any registration department be made available. Members of our organization are afforded the opportunity to network with industry colleagues as well as the regulatory committee through various annual events. We also regularly communicate significant and substantive details on regulatory changes and updates with our members through bulletins and quarterly conference calls. 

Our securities registration organization shares information that may affect registration and licensing requirements and processes. We do this so that our members may comply with the rules, regulations, and laws that govern firms and individuals who work in the securities industry. ARM also submits comment letters on rule proposals that concern the registration process when appropriate. 

National Educational and Networking Conferences

Annually, ARM holds an educational and networking conference bringing together our members with regulators to learn about regulatory developments and rule changes that will affect registration and licensing. During the conference, vendors exhibit various solutions which range from training for regulatory examinations to technology solutions for recordkeeping, compliance functions, and electronic file transfer of registration forms and fingerprints.

The ARM conference is a wonderful opportunity for the registration community to meet colleagues with common goals and share ideas. It is also an excellent venue for vendors to spend time with existing clientele to meet potential clients and forge new relationships. Additionally, vendors can achieve greater visibility through many sponsorship opportunities. 

Lastly, ARM holds speaker luncheons and a holiday gathering in New York City. Your membership to our organization entitles you to discounted rates for these events. 

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