WHERE EXPERIENCE INFORMS JUDGMENT. AML COMPLIANCE CMA APPLICATIONS FINRA MEMBERSHIP REGULATORY EXAMINATIONS SRO RELATIONSHIPS DISCIPLINARY UNDERTAKINGS SUPERVISORY CONTROLS FINRA AND SEC MATTERS FINRA OTR PREPARATION

Regulatory Clarity for Broker-Dealers

Experienced regulatory judgment where precision, perspective, and credibility count.

Senior leadership on every engagement.

Clients work directly with Mitchell Atkins. No commissioned salespeople, no junior consultants taking over after engagement.

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Regulatory experience informs the work.

20 years at FINRA in roles including Regional Director and Senior Vice President. Mitch oversaw the creation of FINRA’s National AML Investigative Unit and led numerous high-profile investigations.

Learn more about Mitch Atkins…

Defined scope and clear deliverables.

Each engagement begins with a written proposal describing scope, methodology, deliverables, and fees. No template work product. No surprise scope expansion.

Learn why it Matters …

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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, FloridaRegistered 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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Strategic Regulatory Guidance

Whether you need expert assistance to solve today’s problem or strategic advice on preventing future problems, FirstMark Regulatory Solutions can provide exactly what you need. 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 …

WHERE EXPERIENCE INFORMS JUDGMENT. AML COMPLIANCE CMA APPLICATIONS FINRA MEMBERSHIP REGULATORY EXAMINATIONS SRO RELATIONSHIPS DISCIPLINARY UNDERTAKINGS SUPERVISORY CONTROLS FINRA AND SEC MATTERS FINRA OTR PREPARATION

Regulatory Clarity for Broker-Dealers

Senior leadership on every engagement.

Regulatory experience informs the work.

Defined scope and clear deliverables.

What our clients are saying

Strategic Regulatory Guidance

Practical Guidance Before Regulatory Issues Escalate.

Substantive regulatory commentary, delivered occasionally.

FINRA Compliance Podcasts

SEC News

FirstMark News & Expert Insights

FirstMark Regulatory Solutions, Inc.