backKing & Spalding represented the Association of Registration Management, Inc. (“ARM”), a securities industry registration, licensing, and operationally focused organization that represents the industry on issues concerning registration, licensing, and operations in the securities and commodities industry, in its submission of two comment letters to FINRA in response to FINRA Regulatory Notices 25-04, 25-05 and 25-07. FINRA issued these Regulatory Notices seeking industry ideas for streamlining FINRA regulation with a view to capturing efficiencies and modernizing outdated rules.
ARM members include many of the firm’s largest and most important financial institution clients, including BlackRock, Cantor Fitzgerald, Evercore, Guggenheim, JP Morgan, Macquarie, Mizuho, PJT Partners, RBC and TD.