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 Governor Elections and Appointments
- FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees Over Seven-Year Period
- FINRA Announces Final Results of Mutual Fund Waiver Initiative
- 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
SEC News
- SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
- SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets
- SEC Charges TherapeuticsMD With Regulation FD Violations
- Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
- SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
- SEC Releases Videos for Investors on Choosing and Working with a Financial Professional
- SEC Wins Jury Trial Against Broker Charged with Insider Trading