cuttone. TAC and ARMA are publishing a series on FINRA Forward for compliance, legal, operations and technology teams at FINRA member firms. Each article will focus on a specific part of the initiative: what FINRA has proposed or changed, where an item stands in the rulemaking process, and what firms may need to monitor or implement. The aim is to separate regulatory developments that require action from proposals still under review and tools that firms can choose whether to use.
FINRA launched FINRA Forward in April 2025 as a set of initiatives aimed at improving how the organization carries out its mission as the securities industry changes. The program focuses on modernizing oversight, supporting member-firm compliance, strengthening resilience, and improving enforcement. Together, these areas make FINRA Forward broader than a conventional rulemaking initiative. It includes changes to the rulebook, but also changes to how FINRA supports firms, identifies risks, conducts oversight, and approaches enforcement. The broader point is that FINRA Forward is not a single rule change or a review with one narrow subject. It is an ongoing effort to revise FINRA’s regulatory approach as markets, technology, and industry practices evolve.
cuttone. TAC. works with organizations on complex regulatory, operational, technology, and strategic challenges, combining domain expertise with hands-on consulting support. Its team helps clients understand requirements, make sound decisions, and improve how they operate. ARMA brings that experience into a human-in-the-loop platform that supports teams while keeping people responsible for review, judgment, and final decisions.