Mitch Atkins, founder and principal of FirstMark Regulatory Solutions, will present at the FINRA South Region Compliance Seminar in Fort Lauderdale, Florida on November 20, 2014. Atkins will present as a panelist on FINRA’s Suitability panel. The panel will discuss the FINRA Suitability Rule (Rule 2111), and in particular, the suitability of variable annuity L-shares and non-traded REITs.
While he was employed with FINRA (formerly NASD), Atkins was designated as a national regulatory expert in the areas of mutual funds and variable annuities. He founded FirstMark Regulatory Solutions in December of 2013 in Fort Lauderdale, Florida. FirstMark offers a broad range of compliance consulting services, including AML independent testing, Rule 3120 supervisory controls testing, SRO relationship management, FINRA membership applications, training, and more.
To register, please visit www.finra.org/conferences/southregion
For more information and to view the seminar brochure and agenda, simply click the image below.