ler subsidiary provides back office functions, such as maintaining client accounts; extending credit in a margin account to the client; engaging in securities lending and borrowing transactions; settling securities transactions with clearinghouses, such as The Depository Trust & Clearing Corporation and The Options Clearing Corporation; settling commissions and transaction fees; preparing client trade confirmations and statements; performing designated cashiering functions, including the delivery and receipt of funds and securities to or from the client; possession, control, and safeguarding of funds and securities in client accounts; processing cash sweep transactions to and from insured deposit accounts and money market mutual funds; transmitting tax accounting information to the client and to the applicable tax authority; and forwarding prospectuses, proxy materials and other shareholder information to clients. During August 2011, the company completed the conversion of thinkorswim’s securities clearing brokerage operations from an outsourced clearing broker-dealer to the TDAC clearing platform. It contracts with an external provider for futures clearing and related back-office services. The company also contracts with external providers to facilitate foreign exchange trading for its clients. Competition The company's competitors include E*TRADE Financial Corporation; The Charles Schwab Corporation; Fidelity Investments; and Scottrade, Inc. It also faces competition from full-commission brokerage firms, such as Merrill Lynch and Morgan Stanley Smith Barney. Regulation The company's introducing broker-dealer subsidiary, TD Ameritrade, Inc., is registered with the Commodity Futures Trading Commission (CFTC) as a futures commission merchant and is a member of, and the corresponding services functions are regulated by, the NFA. Its broker-dealer subsidiaries are subject to the requirements of the Securities Exchange Act of 1934 (the Exchange Act) relating to broker-dealers, including minimum net capital requirements under the SEC Uniform Net Capital Rule (Rule 15c3-1) and segregation of client funds under the SEC Customer Protection Rule (Rule 15c3-3), administered by the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority. TD Ameritrade, Inc. is also subject to regulations under the Commodity Exchange Act, administered by the CFTC and the National Futures Association, including CFTC Regulation 1.17, which requires the maintenance of minimum net capital, and CFTC Regulation 1.20, which requires segregation of client funds. The company's subsidiaries are also registered as investment advisors under the Investment Advisers Act of 1940. It is also subject to regulation in all 50 states and the District of Columbia, including registration requirements. TD Ameritrade Trust Company is chartered in the state of Maine as a state-regulated non-depository trust company. In its capacity as a securities clearing firm, TDAC is a member of The Depository Trust & Clearing Corporation and The Options Clearing Corporation, each of which is registered as a clearing agency with the SEC. History TD Ameritrade Holding Corporation was founded in 1971.
td ameritrade holding corp
200 South 108th Avenue
Omaha, NE 68154
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To contact TD AMERITRADE HOLDING CORP, please visit www.tdameritrade.com. Company data is provided by Capital IQ. Please use this form to report any data issues.