News and Insights
FirstMark publishes articles on FINRA, SEC, and other regulatory matters of interest to broker-dealers, investment advisers, and compliance professionals. Topics include rule developments, examination preparation, AML compliance, supervisory controls testing, and membership applications.
Articles are written by Mitchell Atkins, CRCP, drawing on 20 years of experience at FINRA and ongoing engagements with industry firms.
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