What ARM is...


The Association of Registration Management, Inc. (“ARM”) is a working organization existing for the primary purpose of representing industry on issues that concern the registration and licensing functions for securities, commodities and insurance.

ARM member firms represent the securities industry ranging from full service broker dealers to small regional firms and insurance companies.  Members of ARM are afforded the opportunity, through  various annual events, to network with industry colleagues as well as with the regulatory community.  ARM regularly communicates with its membership through “Bulletins” and quarterly conference calls which consist of significant and substantive information on regulatory changes and updates to which it becomes aware. ARM helps its members on information which may affect registration and licensing requirements and processes so that our members may comply with the rules, regulations and laws that govern firms and individuals who work in the securities industry.  Where appropriate, ARM submits comment letters on rule proposals that concern the registration process.

Annually, ARM holds a national educational and networking conference bringing together  industry with regulators to learn about regulatory developments and rule changes that will affect registration and licensing.  During the ARM conference, vendors exhibit their various solutions which range from training for regulatory examinations to technology solutions for recordkeeping and compliance functions and electronic file transfer of registration forms/fingerprints.  The ARM conference is a wonderful opportunity for the registration community to meet colleagues with common goals and to share ideas.  It’s also an excellent opportunity for vendors to spend time with existing clients as well as to meet new potential industry clients and forge new relationships. Vendors can also achieve greater visibility through many sponsorship opportunities during the conference.

We also hold a summer speaker luncheon in June and a holiday dinner in December.  These are both held in New York, NY.  As with the annual conference, your membership entitles you to discounted rates.


ARMgmnt.org Copyright © 2023. All Rights Reserved.