FirstMark Regulatory Solutions

https://www.linkedin.com/pulse/finra-slams-another-bd-record-fine-aml-failures-whats-mitchell-atkins

FINRA Slams Another BD with Record AML Fine. What's the Message? Today, FINRA announced that it fined another large broker-dealer for, "Significant Deficiencies in its Anti-Money Laundering Program." While this action resulted in a fine of $16.5 million, which is

Check out this article on email and social media compliance!

http://firstmarksolutions.com/atkins-forbes-email-and-social-media-compliance/

Atkins in Forbes: Email and Social Media Compliance - FirstMark Regulatory Solutions FINRA email and social media compliance requirements decrypted in a discussion with former FINRA regulator, Mitch Atkins of FirstMark Regulatory Solutions.

FINRA L Share Compliance Issues - Mitch Atkins to Present Mitch Atkins will present on FINRA L share compliance programs at the FINRA South Region Compliance Seminar in New Orleans on December 2-3, 2015.

The final installment of this three part series about OFDMI.

Catching the Bad Guys: FINRA’s Detective Work Go behind the scenes of the Office of Fraud Detection and Market Intelligence to explore the inner workings of FINRA's detective work.

Second in a series on Office of Fraud Detection. Excellent article.

Catching the Bad Guys: Inside FINRA’s Fraud Surveillance and Insider Trading Groups - The Alert... FINRA's Office of Fraud Detection and Market Intelligence combines a mixture of high-tech market fraud surveillance with old-fashioned detective work.

Amazing group of folks running this department FINRA

Catching the Bad Guys: Inside FINRA’s Office of Fraud Detection and Market Intelligence - The... In the first installment in a three-part series, The Alert Investor takes you behind the scenes at FINRA’s Office of Fraud Detection and Market Intelligence to explore the inner workings of a tenacious group of Wall Street regulators. When you’re trying to fish the bad guys from a sea of more than 6…

electronic communications supervision - an important issue!

Time to Refresh Email Flagging Rules? In reading this Bloomberg Business article (“Don’t Use These Lame Acronyms if You Don’t Want to Get Nabbed by the Feds”) this morning, it became obvious that if compliance staff haven’t recently updated their keyword flagging database, now is the time to do so. As the way we communicate rapidly deve…

A discussion on which aspect of the application process may be appropriate in deciding whether to buy an existing broker-dealer or form a new one.

FINRA Application Process - Buy or Apply? - Mitch Atkins Going through the FINRA application process is challenging. Is it better to simply buy an existing FINRA broker-dealer? Or does it make more sense to file a

Does permit branch offices in executive suites? Yes, but be careful. http://goo.gl/GefWYE

FINRA BD Branch Offices in Executive Suites? These days, it is not unusual for a registered representative of a brokerage firm, or any other small business owner... Continue reading »

I am often asked what it costs to start a broker-dealer. Here's my short take on it.

FINRA BD Startup Cost | Mitch Atkins FINRA NMA Expert FINRA BD startup cost can be substantial so make sure you understand them before getting started. Call Mitch Atkins FINRA NMA expert at 561-948-6511.

Many clients ask what triggers a CMA Material Change in Business Operations application. Check out this short FirstMark article.
http://mitchatkinsfinracmaconsultant.com/finra-cma-material-change/

FINRA CMA Material Change in Business - Mitch Atkins Change in business? Consider whether a FINRA CMA material change application is required. Contact an expert - Mitch Atkins with FirstMark at 561-948-6511.