Mitchell Atkins has more than 20 years experience with FINRA and was Senior Vice President and Regional Director of FINRA Member Regulation’s South Region. He is the Founder and Principal of FirstMark Regulatory Solutions, Inc. based in Fort Lauderdale, Florida and works every day to provide expert insights to registered broker dealers and registered investment advisers. His most recent insights include cybersecurity, FINRA membership applications, risk-based branch inspections, non-traded REITs, business development corporations, exchanged traded funds, form U4 disclosure reviews, anti-money laundering, and Regulations SP and S-ID. In his role at FINRA and later in his role as a consultant, he has been involved with hundreds of FINRA NMA and CMA applications.
Mitchell Atkins frequently addresses industry groups around the country. His most recent speaking engagements include conferences sponsored by FINRA (the Financial Industry Regulatory Authority), ACFCS (Association for Certified Financial Crimes Specialists), LISA (Life Insurance Settlement Association), and more. While at FINRA, Atkins presented to conferences sponsored by IIR (Institute for International Research), BISA (Bank Insurance and Securities Association), LIMRA (Life Insurance Marketing Research Association), FIBA (Florida International Bankers Association), and many more. If you would like secure a dynamic speaker at your conference or training event, contact Mitchell Atkins FINRA NMA Expert at FirstMark Regulatory Solutions or 561-948-6511.