We provide expert insights backed by decades of
direct experience
FirstMark Understands Regulation.
FINRA and SEC examinations, investigations, client complaints, FINRA OTRs, regulatory inquiries and FINRA membership applications are just a few of the many challenges those in the securities industry face every day. Knowing the right solution can make all of the difference. FirstMark Regulatory Solutions provides expert consulting services to help clients navigate this complex industry.
Getting it Right the First Time.
When so much is at stake, hiring the right professional is everything. You want it done right. Hire an expert who knows regulations and the expectations of regulators. Quality work means getting it done right and getting it done quickly. FirstMark Regulatory Solutions was founded by Mitch Atkins who has over 20 years of experience in virtually every role in the FINRA district office structure. His expertise is FINRA.
Only Experts.
Sometimes it can seem like broker-dealer consultants are a “dime a dozen.” Who wants to pay premium prices only to have an inexperienced, junior consultant assigned? And it gets worse when that consultant uses a cookie-cutter template to produce exactly the same result for you as for other clients. We wouldn’t want it. We don’t do it. Your project is important. Your needs are unique.
What our clients are saying
WE HELP YOU PREVENT PROBLEMS.
FINRA News
- FINRA Announces Initiative to Transform CRD, Other Registration Systems
- FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
- FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
- Report from FINRA Board of Governors Meeting – May 2018
- FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
- FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
- FINRA Progress Report on FINRA360 Highlights Significant Changes
SEC News
- SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
- SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office
- SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
- SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
- SEC Charges 13 Private Fund Advisers for Repeated Filing Failures
- Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis