Ann M Grady
President-Owner, Pyrenees Compliance llc
109 Warren Road
Michigan City, US 46360
FINRA & SEC Rules & Regulations
Broker-Dealer Registration Requirements
Fiduciary Standard for Broker-Dealers & Investment Advisors
BD Main Office, Branches and AML Requirements
Securities, Commodities, ETFs, Clearing & Backoffice
Management Fees & Related Procedures By Custodians
Financial Requirements of Broker-Dealers
BD Regulatory Reporting, Surveillance & Supervision
Order routing, execution, advertising, customer complaints, Clearing operations and agreements
Compliance Audits, Churning, Failure to Supervise, Misrepresentation
Securities, Options, Futures
Sales Practice Violations,
U.S. Exchange operations, trading rules and regulations
Payment for Order Flow
Commission and Expense Sharing Agreements
Discovery Records Available From BD and Affiliates
Experienced Chief Compliance Officer ("CCO"), former regulator and previously registered Principal for a variety of brokerage and advisory firms in the securities and commodities industry serving brokerage firms, market makers, clearing firms and Exchanges during last 35 years. Regulator for 19 years and Chief Compliance Officer for last 11 years with clean regulatory record.
FINRA, NFA & State Licenses: Series 3, 4, 7 Series 14A, 24, 34, (56 waiver), Single Stock Futures Certified and 63 licensed.
Financial services compliance officer with broad expertise in capital markets and broker-dealer regulation, futures and commodities operations, regulation and compliance programs, including registration and regulation of hedge funds, market makers, specialists and clearing firms registered with FINRA, SEC, States, NFA and CFTC. Well-versed in the order routing, order execution, customer suitability, risk and surveillance monitoring, operations and backoffice of a variety of brokerage firms (self-clear or introduce customers on a fully disclosed or omnibus basis and/or dually registered as BD & RIA).
A seasoned Chief Compliance Officer and listed Principal from 2008 through July 2018 while employed with thinkorswim (aka Bellevue - name change when TD Ameritrade purchased), TD Ameritrade,, X-Change Financial Access, and tastyworks, Inc.. Practical experience in preparing and submission of FINRA-SEC-NFA applications for start-ups, mergers, acquisitions, business and clearing conversions and contract due diligence and negotiation. Experience as an Arbitration Expert both as an independent expert and as an internal compliance expert for past employers.