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 Launches Initiative to Simplify Firms’ Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs
- Report from FINRA Board of Governors Meeting – May 2019
- FINRA Sanctions AXA Advisors, LLC Approximately $772,000 for Misrepresentations to 401(k) Plan Sponsors and Participants
- FINRA Orders Buckman, Buckman & Reid to Pay Approximately $205,000 in Restitution to Customers for Supervisory Failures Involving Excessive and Unsuitable Trading
- FINRA Forms Office of Financial Innovation, Announces Haimera Workie as Head
- SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
- FINRA Foundation and ALA Announce 50 Public Libraries to Host Thinking Money for Kids Traveling Exhibition
SEC News
- SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
- SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement
- Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud
- SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
- SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
- SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
- SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud