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FirstMark Regulatory Solutions Announces Launch of Broker-Dealer Consulting Practice

Fort Lauderdale – January 28, 2014. FirstMark Regulatory Solutions announced that it would begin offering consultancy services to clients in the financial services industry.  Its founder, Mitchell Atkins, said that the firm will offer its services to a variety of clients including SEC and FINRA registered broker-dealers, their accountants and their attorneys.  He said, “The breadth and scope of the ever-changing and sometimes overlapping regulatory requirements often prompts organizations in this industry to seek expert assistance. Navigating these complexities is our business and our passion.”

Atkins has over 20 years experience in various roles at the Financial Industry Regulatory Authority (FINRA) – formerly the National Association of Securities Dealers (NASD).  Most recently, he held the position of Senior Vice President and Regional Director of FINRA’s South Region.  In that role, he oversaw the regulatory programs of FINRA’s Dallas, New Orleans, Atlanta and Florida District Offices.  Atkins has extensive experience in the areas of regulatory risk assessment and complex regulatory matters.  Atkins said,

“I am excited about the opportunity transform my extensive experience and unique perspectives into valuable insights that will help those in the industry successfully navigate its complex regulatory environment.”

FirstMark Regulatory Solutions, which is headquartered in Fort Lauderdale, Florida, will provide specialized services including litigation support, FINRA membership applications, AML independent testing and more.