EXPERT ADVICE. AML COMPLIANCE CMA APPLICATIONS FINRA APPLICATIONS REGULATORY INQUIRIES SRO RELATIONSHIPS DISCIPLINARY UNDERTAKINGS SUPERVISORY CONTROLS FINRA / SEC EXAMS FINRA OTRs

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.

Learn more about FirstMark’s services …

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.

Learn more about Mitch Atkins…

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.

Learn why it Matters …

Learn how FirstMark can help you unlock solutions

What our clients are saying

“Mitch was fantastic, the preparation and guidance was invaluable…
was a major factor in my successful outcome…”

M.P. - Miami, FloridaRegistred Representative

“FirstMark enabled us to focus on our customers instead of having the worry about the rule interpretation. The advice and guidance provided during our MAP consultation was extremely helpful. We would definitely recommend engaging FirstMark.”

N.L. - Atlanta, GeorgiaChief Executive Officer

“It is rare to find a person that has integrity, exceptional analytical, organizational and problem solving skills, superb ability to communicate with people at all levels of an organization, expertise in so many areas of the financial industry, and is also a fine person. He has exceeded all expectations, proficient in so many areas . . . Mitch’s commitment to “getting the job done” is exceptional. Mitch has earned my highest recommendation.”

M.W. - Fort Lauderdale, FloridaChief Compliance Officer

“. . . our AML testing was a joy of an evolution . . . the FirstMark team took us down a road that provided insight from the seat of a former regulator who sees things from both sides of the fence.”

G.M. - New York, NYChief Compliance Officer

“Mitch Atkins managed the NMA process for us … He was extremely thorough … prepared and organized … never missing a detail. Not only was his work ethic top quality, he always made himself available … Mitch was an absolute pleasure to work with and I would highly recommend him as a consultant.
He truly knows FINRA inside and out …”

T.R. - New York, NYDirector of Global Operations

Mitch Atkins and FirstMark are the very best in providing world class service. I have not encountered anyone in the industry who has the broad and yet specific knowledge of the rules, regulations and viewpoint of the regulators as Mitch. His insights and responsiveness have been invaluable.
I highly recommend Mitch and FirstMark.

S.B. - Tampa, FLChief Executive Officer

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How can FirstMark help you?

Whether you need of expert assistance to solve today’s problem or strategic advice on preventing future problems, FirstMark Regulatory Solutions can provide exactly what you need. Through its network of experts, FirstMark Regulatory Solutions works to solve even the most complex problems. Visit our services page to learn more about what FirstMark can do for you.

Learn more about FirstMark Regulatory Solutions’ Services …

WE HELP YOU PREVENT PROBLEMS.

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EXPERT ADVICE. AML COMPLIANCE CMA APPLICATIONS FINRA APPLICATIONS REGULATORY INQUIRIES SRO RELATIONSHIPS DISCIPLINARY UNDERTAKINGS SUPERVISORY CONTROLS FINRA / SEC EXAMS FINRA OTRs

We provide expert insights backed by decades of
direct experience

FirstMark Understands Regulation.

Getting it Right the First Time.

Only Experts.

What our clients are saying

How can FirstMark help you?

WE HELP YOU PREVENT PROBLEMS.

Want to receive our expert insights? Sign up!
We won’t flood your inbox with junk!

FINRA Compliance Podcasts

SEC News

FirstMark News

FirstMark Regulatory Solutions, Inc.

EXPERT ADVICE. AML COMPLIANCE CMA APPLICATIONS FINRA APPLICATIONS REGULATORY INQUIRIES SRO RELATIONSHIPS DISCIPLINARY UNDERTAKINGS SUPERVISORY CONTROLS FINRA / SEC EXAMS FINRA OTRs

We provide expert insights backed by decades of direct experience

FirstMark Understands Regulation.

Getting it Right the First Time.

Only Experts.

What our clients are saying

How can FirstMark help you?

WE HELP YOU PREVENT PROBLEMS.

Want to receive our expert insights? Sign up! We won’t flood your inbox with junk!

FINRA Compliance Podcasts

SEC News

FirstMark News

FirstMark Regulatory Solutions, Inc.

We provide expert insights backed by decades of
direct experience

Want to receive our expert insights? Sign up!
We won’t flood your inbox with junk!