How to find us
FirstMark Regulatory Solutions
Glades – St. Andrews Professional Center
2499 Glades Road, Suite 101
Boca Raton, Florida 33431
(561) 948-6511 (phone) | (561) 923-8371 (fax)
Email or call to speak directly with Mitch Atkins.
Find immediate answers.
We respect your privacy and your time.
No charge for an initial consultation.
No pushy sales techniques.
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FINRA News
- Report from FINRA Board of Governors Meeting – December 2020
- FINRA Board Appoints Deborah Bailey and Kathryn Ruemmler as Newest Governors
- FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded
- New Research: Financial Literacy Is Significant Indicator of Positive Future Financial Outcomes and Behaviors
- FINRA Announces Interim Progress of Voluntary 529 Plan Share Class Initiative
- Maintaining Over $100 in Savings Linked to Increased Likelihood of Financial Stability in Lower Income Households
- FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans
SEC News
- Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure
- Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service
- What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4
- Fee Rate Advisory #2 for Fiscal Year 2021
- SEC Awards Nearly $600,000 to Whistleblower
- Sagar Teotia to Conclude Tenure as SEC Chief Accountant
- Acting Enforcement Director Marc P. Berger to Depart the Commission
FirstMark News
- Join Mitch Atkins at the FINRA Arbitration and Enforcement Regional CLE Program
- Mitch Atkins to Speak at 2019 FMA Securities Compliance Seminar
- Atkins Discusses FinCEN CDD Rule on FINRA AML Panel
- AML Surveillance – Major FINRA AML Case
- Mitch Atkins Presenting at FINRA South Region Conference
- Epic BD AML Compliance Failure Yields Another Record Fine
FirstMark Regulatory Solutions, Inc.
2499 Glades Road, Ste. 101
Boca Raton, FL 33431
Phone: (561) 948-6511
Fax: (561) 923-8371
http://firstmarksolutions.com
Click here to Email Us!
Follow Us on LinkedIn:
Boca Raton, FL 33431
Phone: (561) 948-6511
Fax: (561) 923-8371
http://firstmarksolutions.com
Click here to Email Us!
Follow Us on LinkedIn: