Practical Judgment for Decisions That Matter.
FirstMark’s founder, Mitchell Atkins, has the unique perspective of having held various staff and senior management positions over the years at the securities industry’s self-regulatory body, the Financial Industry Regulatory Authority (FINRA). As FINRA’s Regional Director for its South Region, he maintained overall responsibility for examinations and investigations in that Region. He frequently collaborated with other high-level staff in all areas of the organization. Known for his thoroughness and effectiveness in dealing with complex scenarios and crisis situations, Mr. Atkins is positioned to address clients’ most consequential regulatory matters.
At FINRA, Mitchell Atkins was known and respected for his ability to forge excellent relationships. In response to a request by FINRA members for more direct interaction with their regulator, Mr. Atkins founded FINRA South Region Focus Groups. He was praised by many industry members for his willingness to understand and effectively respond to their concerns. Mr. Atkins will offer these skills to help clients build and manage effective relationships with regulators, even if there have been challenges in the past. Mr. Atkins has both the underlying technical expertise as well as the extensive experience necessary to help clients navigate even the most difficult regulatory and business situations.
Experience Makes all the Difference.
We help evaluate consequential decisions in complicated, often poorly understood areas where mistakes are expensive.
In today’s regulatory environment, it is not unusual to receive an official inquiry from a regulator. How a firm handles such an inquiry can make all the difference in the outcome. What you may think is a simple inquiry could be much more. In this environment, it is critically important to contact an experienced professional to help provide insights as to the best approach to handling a regulatory inquiry, investigation, or enforcement proceeding. While FirstMark does not provide legal or accounting services, its professionals can help you prepare responses to a regulatory inquiry. FirstMark’s founder, Mitch Atkins, has 20 years of experience working at the industry regulator, FINRA. In his role there as Senior Vice President and Regional Director he oversaw thousands of examinations and investigations over the years. FirstMark clients benefit from Mr. Atkins’ experience and knowledge. Also, while FirstMark does not offer legal services, it maintains excellent relationships with top defense lawyers in the industry.
Sourcing the Right Team for Your Matter.
With extensive industry experience and excellent relationships, FirstMark can help you solve complex problems. FirstMark maintains relationships with industry specialists in virtually every area of the securities industry. Whether it is a financial expert or defense counsel, FirstMark can arrange for the right team to work towards your solution.
Even among very experienced professionals, there is usually a best fit for each situation. FirstMark can help you build a highly effective team to most effectively address regulatory examinations, investigations, enforcement matters, OTRs, regulatory undertakings, membership applications, technology conversions, and more.
One of the single most unfortunate situations that occurs in any complex regulatory situation is the failure to identify the right resources and professionals to help resolve the matter in the most effective manner. FirstMark’s principal, Mitch Atkins, has observed hundreds of professionals handle complex situations over the years and maintains excellent relationships with a wide variety of resource providers.
Built on Relationships.
FirstMark was founded to provide senior-level guidance and substantive insight to those in the financial services industry — one of the most heavily regulated in the world. The breadth and scope of the ever-changing and sometimes overlapping regulatory requirements often prompts organizations in this industry to seek expert assistance. This focus is FirstMark’s specialty. So much so that FirstMark does not offer routine compliance services. The firm focuses on selected engagements where senior-level attention matters.
FINRA Compliance Podcasts
- How FINRA Is Enhancing Member Firm Examinations
- Trading Around the Clock: Inside FINRA's Trade Reporting Enhancements
- How FINRA Is Streamlining Data Requests
- Financial Security in 2026: Tips for Investors and How Firms Can Help
- Investors in the United States: Key Trends and Insights from the National Financial Capability Study
- Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership
- Making Your Voice Heard Through FINRA Member Engagement
SEC News
- SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme
- SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
- SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
- Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
- SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
- Chairman Atkins Launches 'Material Matters' Podcast
- SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs