FirstMark Regulatory Solutions is a compliance consulting firm that provides expert services to clients in the financial services industry including SEC and FINRA registered broker-dealers, their accountants and their attorneys.  The financial services industry is one of the most heavily regulated industries 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 advice.  Navigating these complexities is our business and our passion. 

Mitch Atkins, worked at FINRA for 20 years before founding FirstMark. He is an expert in the FINRA Membership Application rules, and works with clients to process FINRA CMA, NMA, MATCON, and MAC applications.  FirstMark conducts Anti-Money Laundering Independent Testing for broker-dealers and investment advisors.  Contact Mitch Atkins at FirstMark for more information.

FirstMark Regulatory Solutions

Org chart

Teams

Offices