User Companion for Thinkorswim Helpful Resources 2 Introduction Part I Learning to Swim the Thinkorswim® Application Is a Robust Trading Platform for Trading U.S
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RHF Use and Risk Disclosures
RHF Use and Risk Disclosures IT IS IMPORTANT THAT YOU READ AND FULLY UNDERSTAND THE FOLLOWING RISKS OF TRADING AND INVESTING IN YOUR SELF-DIRECTED ROBINHOOD FINANCIAL ACCOUNT. Use of Self-Directed Trading Accounts. All Customer Accounts are self-directed. Accordingly, unless Robinhood Financial clearly identifies a communication as an individualized recommendation, Customers are solely responsible for any and all orders placed in their Accounts and understand that all orders entered by them are based on their own investment decisions or the investment decisions of their duly authorized representative or agent. Consequently, any Customer of Robinhood Financial agrees that, unless otherwise agreed to in writing, neither Robinhood Financial nor any of its employees, agents, principals or representatives: ● provide investment advice in connection with a Customer Account; ● recommend any security, transaction or order; ● solicit orders; ● act as a market maker in any security; ● make discretionary trades; and ● produce or provide research. To the extent research materials or similar information is available through Robinhood.com or the websites of any of its affiliates, these materials are intended for informational and educational purposes only and they do not constitute a recommendation to enter into any securities transactions or to engage in any investment strategies. General Risks of Trading and Investing. All securities trading, whether in stocks, exchange-traded funds (“ETFs”), options, or other investment vehicles, is speculative in nature and involves substantial risk of loss. Robinhood Financial encourages its Customers to invest carefully and to use the information available at the websites of the SEC at http://www.sec.gov and FINRA at http://FINRA.org. -
(An Indirect Wholly Owned Subsidiary of TD Ameritrade Holding
C ONSOLIDATED S TATEMENT OF F INANCIAL C ONDITION AND S UPPLEMENTAL I NFORMATION TD Ameritrade, Inc. (An Indirect Wholly Owned Subsidiary of TD Ameritrade Holding Corporation) SEC File Number 8-23395 September 30, 2014 With Report of Independent Registered Public Accounting Firm TD Ameritrade, Inc. (An Indirect Wholly Owned Subsidiary of TD Ameritrade Holding Corporation) Consolidated Statement of Financial Condition and Supplemental Information September 30, 2014 Contents Report of Independent Registered Public Accounting Firm ............................................................1 Consolidated Statement of Financial Condition ..............................................................................2 Notes to Consolidated Statement of Financial Condition ................................................................3 Supplemental Information Schedule I – Schedule of Segregation Requirements and Funds in Segregation For Customers Trading on U.S. Commodity Exchanges Pursuant to Regulations Under the Commodity Exchange Act ....................................................................................................17 Ernst & Young LLP Tel: +1 312 879 2000 155 North Wacker Drive Fax: +1 312 879 4000 Chicago, IL 60606-1787 ey.com Report of Independent Registered Public Accounting Firm The Board of Directors and Stockholder TD Ameritrade, Inc. We have audited the accompanying statement of financial condition of TD Ameritrade, Inc. (the Company) as of September 30, 2014. This financial statement is the responsibility of the Company’s management. Our responsibility is to express an opinion on this financial statement based on our audit. We conducted our audit in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the statement of financial condition is free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statement. -
IG Response to the Consultation on the Protection of Retail Investors in Relation to the Distribution of Cfds
IG Response to the Consultation on the Protection of Retail Investors in relation to the Distribution of CFDs. We would like to thank the CBI for giving us the opportunity to respond to the Consultation on the Protection of Retail Investors in relation to the Distribution of CFDs. This is an area that we feel very strongly about and we agree that as an industry we must take steps to protect retail clients. One of our main concerns is that the disproportionate implementation of investor protection measures may guide retail clients towards irresponsible firms that are outside the control or influence of the CBI, or indeed of any other EEA regulatory body. We hope that our response, including the quantitative analysis that has been provided and summarised within the appendices to this response, is useful and insightful and we ask that this information is given due consideration as part of the consultation process. 1. Which of the options outlined in this paper do you consider will most effectively and proportionately address the investor protection risks associated with the sale or distribution of CFDs to retail clients? Please give reasons for your answer. We believe that Option 2 would be the more effective and proportionate of the two options offered in CP107 (though we disagree with the details of the suggested leverage restriction regime included within that option – see answer 2(a), below). We think Option 1, a prohibition on the sale or distribution of CFDs to retail clients, would be a counterproductive and disproportionate measure that would be likely to lead to worse client outcomes – both for (i) the set of clients with sufficient understanding and a legitimate need to trade CFDs and (ii) vulnerable clients, for whom CFDs are unsuitable, who will be more likely to be successfully targeted by unscrupulous, unregulated firms. -
Stock-Market Simulations
Project DZT0518 Stock-Market Simulations An Interactive Qualifying Project Report: submitted to the Faculty of WORCESTER POLYTECHNIC INSTITUTE in partial fulfillment of the requirements for the Degree of Bachelor of Science By Bhanu Kilaru: _____________________________________ Tracyna Le: _______________________________________ Augustine Onoja: ___________________________________ Approved by: ______________________________________ Professor Dalin Tang, Project Advisor Table of Contents LIST OF TABLES....................................................................................................................... 4 LIST OF FIGURES..................................................................................................................... 5 ABSTRACT ..................................................................................................................................... 6 CHAPTER 1: INTRODUCTION ................................................................................................. 7 1.0 INTRODUCTION .................................................................................................................... 7 1.1 BRIEF HISTORY .................................................................................................................. 9 1.2 DOW .................................................................................................................................. 11 1.3 NASDAQ.......................................................................................................................... -
Thinkorswim Sharing
Reprinted from Technical Analysis of STOCK S & COMMODITIE S magazine. © 2014 Technical Analysis Inc., (800) 832-4642, http://www.traders.com PRODUCT REVIEW thinkorswim Sharing TD AMERITRADE, INC. SHORTENING THE found both within the thinkorswim AND AFFILIATES LEARNING CURVE platform and the thinkorswim web-based Website: www.thinkorswim.com, Traders who use thinkorswim as their trading platform: www.mytrade.com broker and trading, charting, and n thinkorswim is the actual trading Email: [email protected] analysis platform might just find that and analysis platform; a web and Product: Social media sharing all of those pertinent questions — and mobile version are also available tools and online community for more — can be answered within the thinkorswim users thinkorswim/MyTrade section of this n thinkorswim/Sharing is the broad, Price: Free for TD Ameritrade comprehensive analysis and trading descriptive name that encom- account holders platform. The platform already offers a passes all of the sharing features myriad of unique technical, analytical, linked to thinkorswim by Donald W. Pendergast Jr. and forecasting tools for serious trad- n thinkorswim/MyTrade is a web- ers and investors. Experienced traders site and section within the thinkor- nce an individual makes the using the thinkorswim/MyTrade tools swim platform where user-posted important decision to pursue the will have an eager audience of newer trades, ideas, and charts are dis- O goal of becoming a successful and maturing traders with whom they tributed to other MyTrade users trader, chooses a stock/option/forex/ can freely share their trade ideas, charts, commodity broker, and funds his ac- scans, watchlists, and chart layouts. -
The Law and Economics of Hedge Funds: Financial Innovation and Investor Protection Houman B
digitalcommons.nyls.edu Faculty Scholarship Articles & Chapters 2009 The Law and Economics of Hedge Funds: Financial Innovation and Investor Protection Houman B. Shadab New York Law School Follow this and additional works at: http://digitalcommons.nyls.edu/fac_articles_chapters Part of the Banking and Finance Law Commons, and the Insurance Law Commons Recommended Citation 6 Berkeley Bus. L.J. 240 (2009) This Article is brought to you for free and open access by the Faculty Scholarship at DigitalCommons@NYLS. It has been accepted for inclusion in Articles & Chapters by an authorized administrator of DigitalCommons@NYLS. The Law and Economics of Hedge Funds: Financial Innovation and Investor Protection Houman B. Shadab t Abstract: A persistent theme underlying contemporary debates about financial regulation is how to protect investors from the growing complexity of financial markets, new risks, and other changes brought about by financial innovation. Increasingly relevant to this debate are the leading innovators of complex investment strategies known as hedge funds. A hedge fund is a private investment company that is not subject to the full range of restrictions on investment activities and disclosure obligations imposed by federal securities laws, that compensates management in part with a fee based on annual profits, and typically engages in the active trading offinancial instruments. Hedge funds engage in financial innovation by pursuing novel investment strategies that lower market risk (beta) and may increase returns attributable to manager skill (alpha). Despite the funds' unique costs and risk properties, their historical performance suggests that the ultimate result of hedge fund innovation is to help investors reduce economic losses during market downturns. -
Annual Report 2017
20Annual Remuneration Report Remuneration | Report Financial Report 17Corporate Governance Report Remuneration Report Corporate Governance Report Governance Corporate | We are pioneers and game- changers, stimulated by the endless possibilities of re- en gineering banking. Financial Report | Constant innovation is our key to success. 2017 was especially marked by the implementation of cryptocurrency trading. Swissquote Annual Report 2017 Annual Report 2017 Content 02 Key figures 04 Swissquote share 06 Report to the shareholders 09 Financial Report 10 Consolidated financial statements 108 Report of the statutory auditor on the consolidated financial statements 113 Statutory financial statements 121 Proposed appropriation of retained earnings 122 Report of the statutory auditor on the financial statements 125 Corporate Governance Report 153 Remuneration Report 174 Report of the statutory auditor on the remuneration report 176 Global presence services/global offices The Swiss leader in online banking www.swissquote.com Annual Report 2017 1 Key figures 2017 2016 2015 2014 2013 Number of accounts 309,286 302,775 231,327 221,922 216,357 % change 2.2% 30.9% 4.2% 2.6% 7.3% Assets under custody in CHFm 1 23,240 17,864 11,992 11,562 10,083 % change 30.1% 49.0% 3.7% 14.7% 17.5% Client assets in CHFm 2 24,112 18,557 11,992 11,562 10,083 % change 29.9% 54.7% 3.7% 14.7% 17.5% Employees 593 550 524 532 507 % change 7.8% 5.0% –1.5% 4.9% 37.8% 1 Including cash deposited by clients 2 Including assets that are not held for custody purposes but for which the technology of the Group gives clients access to the stock market and/or that are managed by Swissquote (Robo-Advisory technology). -
Playing with Fire
SPECIAL REPORT FINANCIAL INNOVATION February 25th 2012 Playing with fire SRFininnov1.indd 1 14/02/2012 15:09 SPECIAL REPORT FINANCIAL INNOVATION Playing with fire Financial innovation can do a lot of good, says Andrew Palmer. It is its tendency to excess that must be curbed FINANCIAL INNOVATION HAS a dreadful image these days. Paul CONTENTS Volcker, a former chairman of America’s Federal Reserve, who emerged 4 How innovation happens from the 2007-08 nancial crisis with his reputation intact, once said that The ferment of nance none of the nancial inventions of the past 25 years matches up to the ATM. Paul Krugman, a Nobel prize-winning economist-cum-polemicist, 5 Retail investors has written that it is hard to think of any big recent nancial break- The little guy throughs that have aided society. Joseph Stiglitz, another Nobel laureate, 6 Exchange-traded funds argued in a 2010 online debate hosted by The Economist that most inno- From vanilla to rocky road vation in the run-up to the crisis was not directed at enhancing the 9 High-frequency trading ability of the nancial sector to The fast and the furious perform its social functions. 11 Financial infrastructure Most of these critics have Of plumbing and promises market-based innovation in their sights. There is an enormous 12 Small rms amount of innovation going on On the side of the angels in other areas, such as retail pay- 13 Collateral ments, that has the potential to Safety rst change the way people carry and spend money. But the debate and hence this special reportfo- Glossary cuses mainly on wholesale pro- Finance has a genius for obscuring simple ducts and techniques, both be- ideas with technical jargon. -
Preferred Shares
TD Waterhouse Jayme Querry CFP, CIM, FCSI Investment Advisor 613-783-1993 [email protected] Preferred Shares www.jaymequerry.com Preferred shares are equity investments that can play a key capital, preferred shares trade on a stock exchange similar to role in many income portfolios. When constructing a portfolio common shares. Preferred shares are similar to bonds in that to provide income and security, it is crucial to consider not they pay a fixed distribution (dividends), have a set par value only how much money you can earn but how much money (generally $25) and their pricing is impacted by the same you keep after taxes. Preferred shares can help maximize a factors affecting bonds – interest rates and corporate credit stable stream of after-tax income. spreads. Preferred shares have a claim on liquidation proceeds, equivalent to par or liquidation value. This claim is senior to What are preferred shares? the claims of common stocks, which have only a residual claim but is junior to traditional debt. Dividend paying preferred shares can be considered a “hybrid” investment, sharing attributes with both bonds What are the advantages of investing in and stocks. Preferred shares are a class of equity carrying additional rights above and beyond those of common stocks. preferred shares? These preferred shares are called “preferred” because their Preferred shares often offer yields that are higher than dividend must be paid before the common stock dividend (if those on bonds, money market instruments and common any) is paid. Preferred shares do not participate in the profits stock. The tax treatment of preferred dividends makes of a company and under normal circumstances have no voting them attractive to individuals and other taxable entities. -
Enriching the Lives of Our Customers, Communities and Colleagues
TD BANK GROUP 2016 ANNUAL REPORT Enriching the lives of our customers, communities and colleagues 2016 Annual Report ® The TD logo and other trade-marks are the property of 19504 FSC Logo The Toronto-Dominion Bank or a wholly-owned subsidiary, in Canada and/or other countries. 2016 Snapshot 1 Shareholder and Investor Information Year at a Glance 2 Performance Indicators 4 TD Framework 5 Group President and CEO’s Message 6 MARKET LISTINGS DIVIDENDS Effective March 1, 2017, dividends will be The common shares of The Toronto-Dominion Direct dividend depositing: Shareholders exchanged into U.S. funds at the Bank of Canada Chairman of the Board’s Message 7 Bank are listed for trading on the Toronto Stock may have their dividends deposited directly daily average exchange rate published at 16:30 MANAGEMENT’S DISCUSSION AND ANALYSIS 11 Exchange and the New York Stock Exchange to any bank account in Canada or the U.S. (Eastern) on the fifth business day after the under the symbol “TD”. The Toronto-Dominion For this service, please contact the Bank’s record date, or as otherwise advised by the Bank. FINANCIAL RESULTS Bank preferred shares are listed on the Toronto transfer agent at the address below. Stock Exchange. Dividend information is available at Consolidated Financial Statements 116 U.S. dollar dividends: Dividend payments Further information regarding the Bank’s www.td.com under Investor Relations/Share sent to U.S. addresses or made directly to Notes to Consolidated Financial Statements 124 listed securities, including ticker symbols and Information. Dividends, including the amounts U.S. -
Information Circular Solicitation Of
Suite 2400, 1055 West Georgia Street Vancouver, British Columbia, V6E 3P3 Tel: (604) 681-8030 _________________________________________________ INFORMATION CIRCULAR As at October 28, 2020, unless otherwise noted FOR THE ANNUAL GENERAL AND SPECIAL MEETING OF THE SHAREHOLDERS TO BE HELD ON DECEMBER 17, 2020 SOLICITATION OF PROXIES This information circular is furnished in connection with the solicitation of proxies by the management of Voleo Trading Systems Inc. (the “Company”) for use at the Annual General and Special Meeting (the “Meeting”) of the Shareholders of the Company to be held at the time and place and for the purposes set forth in the Notice of Meeting and at any adjournment thereof. PERSONS OR COMPANIES MAKING THE SOLICITATION The enclosed Instrument of Proxy is solicited by management of the Company (“Management”). Solicitations will be made by mail and possibly supplemented by telephone or other personal contact to be made without special compensation by regular officers and employees of the Company. The Company does not reimburse Shareholders’ nominees or agents (including brokers holding shares on behalf of clients) for the cost incurred in obtaining from their principals, authorization to execute the Instrument of Proxy. No solicitation will be made by specifically engaged employees or soliciting agents. The cost of solicitation will be borne by the Company. None of the directors of the Company have advised that they intend to oppose any action intended to be taken by Management as set forth in this Information Circular. NOTICE-AND-ACCESS PROCESS In accordance with the notice-and-access rules under National Instrument 54-101 Communications with Beneficial Owners of Securities of a Reporting Issuer, the Company has sent its proxy-related materials to registered holders and non-objecting beneficial owners using notice-and-access. -
Subscriber Agreement Electronic (NYSE)-TDA 1120
EXHIBIT B AGREEMENT FOR MARKET DATA DISPLAY SERVICES (Nonprofessional Subscriber Status) TD Ameritrade Inc. ("Vendor") agrees to make "Market Data" available to you pursuant to the terms and conditions set forth in this agreement. By executing this Agreement in the space indicated below, you ("Subscriber") agree to comply with those terms and conditions. Section 1 sets forth terms and conditions of general applicability. Section 2 applies insofar as Subscriber receives and uses Market Data made available pursuant to this Agreement as a Nonprofessional Subscriber. SECTION 1: TERMS AND CONDITIONS OF GENERAL APPLICABILITY 1. MARKET DATA DEFINITION – For all purposes of this Agreement, "Market Data" means (a) last sale information and quotation information relating to securities that are admitted to dealings on the New York Stock Exchange ("NYSE*"), (b) such bond and other equity last sale and quotation information, and such index and other market information, as United States-registered national securities exchanges and national securities associations (each, an "Authorizing SRO") may make available and as the NYSE* may from time to time designate as "Market Data"; and (c) all information that derives from any such information. 2. PROPRIETARY NATURE OF DATA – Subscriber understands and acknowledges that each Authorizing SRO and Other Data Disseminator has a proprietary interest in the Market Data that originates on or derives from it or its market(s). 3. ENFORCEMENT – Subscriber understands and acknowledges that (a) the Authorizing SROs are third-party beneficiaries under this Agreement and (b) the Authorizing SROs or their authorized representative(s) may enforce this Agreement, by legal proceedings or otherwise, against Subscriber or any person that obtains Market Data that is made available pursuant to this Agreement other than as this Agreement contemplates.