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
- New Research: Many U.S. Investors With Low Financial Literacy Levels Are Ill Equipped to Manage Personal Finances, Especially Investments
- New Research: Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans
- FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes
- Report from FINRA Board of Governors Meeting – September 2019
- FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures
- FINRA Board of Governors Appoints Peter Fisher as Newest Governor
- FINRA Bars Ami Forte and Charles Lawrence for Their Roles in Churning Accounts of Elderly Client with Dementia
SEC News
- SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee
- SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
- SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
- SEC Proposes Amendments to Modernize Shareholder Proposal Rule
- SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
- SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
- SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions