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 News
- FINRA Publishes 2022 Industry Snapshot
- Report From FINRA Board of Governors Meeting – May 2022
- FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000
- FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $15.2 Million in Restitution
- FINRA Appoints Michael Solomon Senior Vice President of Examinations
- FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations
- FINRA Publishes Independent Counsel’s Report on Arbitrator Selection Process
SEC News
- SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraud
- SEC Appoints Anthony C. Thompson to Second Term on PCAOB
- SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Register
- SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme
- SEC Re-Proposes Amendments to Exemption From National Securities Association Membership
- New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
- SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft