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 Releases New Guidance on Credit for Extraordinary Cooperation
- Joint Statement on Broker-Dealer Custody of Digital Asset Securities
- FINRA Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in Restitution to Customers Whose Accounts Were Excessively Traded
- Financial Prosperity Eludes Many Americans Despite Growing Economy and Declining Unemployment
- FINRA Foundation Honors Top Student Researchers for Advancing Understanding of Financial Capability in the United States
- NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
- FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs
SEC News
- SEC Charges Securities Lawyer and Microcap Agent with Fraud
- SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR
- SEC Monitoring Impact of Tropical Storm Barry on Capital Markets
- SEC Investor Advisory Committee to Meet on July 25
- SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme
- CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
- Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule