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 Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in Restitution to Customers Whose Accounts Were Excessively Traded
- FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement
- FINRA Announces Governor Elections and Appointments
- FINRA Foundation Honors Top Student Researchers for Advancing Understanding of Financial Capability in the United States
- FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees Over Seven-Year Period
- Joint Statement on Broker-Dealer Custody of Digital Asset Securities
- FINRA Announces Final Results of Mutual Fund Waiver Initiative
SEC News
- SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
- Chandler Smith Costello Named Deputy Director for Public Affairs
- SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
- SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
- SEC Monitoring Impact of Hurricane Dorian on Capital Markets
- SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
- SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players