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FirstMark Regulatory @FirstMarkReg

FirstMark Regulatory Solutions provides expert insights to the financial services industry and is based in Boca Raton, Florida. 561-948-6511.

Joined December 2013
  • Tweets 6
  • Following 21
  • Followers 11
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FINRA Slams Another BD with Record AML Fine. What's the Message? linkedin.com/pulse/finra-sla…

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.

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I often get asked what it costs to start a #FINRA BD. Check out my short take on it here: goo.gl/rZujeX
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Want to know more about what triggers a #FINRA CMA Material Change in Business Operations (Rules 1011 and 1017)?mitchatkinsfinracmaconsultan…

The FINRA CMA: A Comprehensive Guide by a Former Regulator

A former FINRA executive's guide to the FINRA CMA process — material changes, asset transfers, arbitration plans, fees, and timeline.

firstmarksolutions.com
Check out the @FirstMarkReg summary of the comments received on the #FINRA MAP Rules Retrospective: goo.gl/IHwt0p

Comments are in - FINRA Membership Application Retrospective Rule Review

The comments are in, and they weren't what I expected. As part of its effort to assess the effectiveness and efficiency of its rules, FINRA, in March of 2015, issued Regulatory Notice 15-10 request...

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Just setting up my Twitter. #myfirstTweet
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