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 as a regulator at FINRA. 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 Compliance Podcasts
- Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
- The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health
- The Latest Research: Why Do Targets Engage with Scams?
- The Victim Experience: When Romance Leads to a Crypto Scam
- Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
- FINRA’s Examination Program: Optimizing for the Future
- FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
SEC News
- SEC Charges BIT Mining with FCPA Violations in Connection with Bribery Scheme to Influence Members of Japanese Parliament
- SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations
- JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
- SEC Announces New Members of Small Business Capital Formation Advisory Committee
- SEC Adopts Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies
- SEC Small Business Advisory Committee to Discuss Approaches to Venture Capital Fundraising and Challenges Facing Emerging Fund Managers
- SEC Charges Four Companies With Misleading Cyber Disclosures