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.

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…

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