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FirstMark Regulatory Solutions
150 E. Palmetto Park Road, Suite 800
Boca Raton, Florida 33432
(561) 948-6511
Email or call to speak directly with Mitch Atkins.
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FINRA News
- FINRA Names Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence
- FINRA Foundation Research Examines Investors of Color
- FINRA Publishes 2024 Regulatory Oversight Report
- New Members Appointed to FINRA Foundation Board; Jonathan Sokobin Named Chair
- FINRA Publishes Crypto Asset Communications Sweep Update
- FINRA Fines Morgan Stanley $1.6 Million for Municipal Securities Violations and Related Failures
- FINRA Announces Three New Governors on Its Board
SEC News
- Register for the SEC’s 43rd Annual Small Business Forum April 16-18
- SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
- SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
- SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
- SEC Seeks Candidates for Investor Advisory Committee
- SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
- SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress