s, proxy materials and other shareholder information to clients. Strategy The company intends to capitalize on the growth and consolidation of the retail brokerage industry in the United States and utilize its infrastructure to grow its market share and profitability. The main elements of its strategy are as follows: focus on brokerage services; provide a comprehensive long-term investor solution; maintain industry leadership and market share with active traders; continue to operate in the RIA industry; utilize its infrastructure to add incremental revenue; continue to be a low-cost provider of quality services; continue to differentiate its offerings through innovative technologies and service enhancements; utilize the TD Ameritrade brand; and continue to evaluate opportunities for growth through acquisitions. Regulation The securities and futures industries are subject to extensive regulation under federal and state law. Broker-dealers are required to register with the U.S. Securities and Exchange Commission (SEC) and to be members of Financial Industry Regulatory Authority (FINRA). In addition, its 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 National Futures Association (NFA). The company’s 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 SEC and FINRA. TD Ameritrade, Inc. is also subject to regulations under the Commodity Exchange Act, administered by the CFTC and NFA, including CFTC Regulation 1.17, which requires the maintenance of minimum net capital, and CFTC Regulation 1.20, which requires segregation of client funds. Certain of its subsidiaries are also registered as investment advisors under the Investment Advisers Act of 1940. The company 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. Intellectual Property Rights The company’s trademarks include both its primary brand, TD Ameritrade, as well as brands for other products and services. Competition The company’s competitors include E*TRADE Financial Corporation; The Charles Schwab Corporation; Fidelity Investments; Scottrade, Inc.; Merrill Lynch; and Morgan Stanley Smith Barney. History TD Ameritrade Holding Corporation was founded in 1971.
td ameritrade holding corp
200 South 108th Avenue
Omaha, NE 68154
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