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(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. -
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.......................................................................................................................... -
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. -
List of British Entities That Are No Longer Authorised to Provide Services in Spain As from 1 January 2021
LIST OF BRITISH ENTITIES THAT ARE NO LONGER AUTHORISED TO PROVIDE SERVICES IN SPAIN AS FROM 1 JANUARY 2021 Below is the list of entities and collective investment schemes that are no longer authorised to provide services in Spain as from 1 January 20211 grouped into five categories: Collective Investment Schemes domiciled in the United Kingdom and marketed in Spain Collective Investment Schemes domiciled in the European Union, managed by UK management companies, and marketed in Spain Entities operating from the United Kingdom under the freedom to provide services regime UK entities operating through a branch in Spain UK entities operating through an agent in Spain ---------------------- The list of entities shown below is for information purposes only and includes a non- exhaustive list of entities that are no longer authorised to provide services in accordance with this document. To ascertain whether or not an entity is authorised, consult the "Registration files” section of the CNMV website. 1 Article 13(3) of Spanish Royal Decree-Law 38/2020: "The authorisation or registration initially granted by the competent UK authority to the entities referred to in subparagraph 1 will remain valid on a provisional basis, until 30 June 2021, in order to carry on the necessary activities for an orderly termination or transfer of the contracts, concluded prior to 1 January 2021, to entities duly authorised to provide financial services in Spain, under the contractual terms and conditions envisaged”. List of entities and collective investment -
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. -
AJ BELL Daily AJBA.L 07/12/2018 - 23/01/2019 (LON) Line, AJBA.L, Trade Price(Last), 23/01/2019, 286.8000, 0.0000, (0.00%) Price Gbp 290 286.8000 285
24 January 2019 Financials AJ BELL Daily AJBA.L 07/12/2018 - 23/01/2019 (LON) Line, AJBA.L, Trade Price(Last), 23/01/2019, 286.8000, 0.0000, (0.00%) Price GBp 290 286.8000 285 280 275 270 265 Platform for growth 260 255 250 245 240 AJ Bell is one of the largest and fastest-growing investment platforms in the UK. 235 230 It serves both the adviser market and the DIY investor. Having transitioned to 225 220 Auto updated technology in 2014, it is well placed to ride the growth in the market and 07 10 11 12 13 14 17 18 19 20 21 24 27 28 31 02 03 04 07 08 09 10 11 14 15 16 17 18 21 22 23 December 2018 January 2019 Source: Eikon Thomson Reuters pick up disaffected clients from competitor platforms that are only now upgrading. We anticipate strong profit growth on the back of higher revenues and positive Market data operational gearing. The new asset management business should add further EPIC/TKR AJB momentum, and higher UK savings rates could be the icing on the cake. Price (p) 287 12m High (p) 299 ► Strategy: AJ Bell intends to be the easiest platform for investors and advisers 12m Low (p) 162 to use, and to offer exceptional value – but not at the expense of service levels. Shares (m) 407 It charges noticeably less than many of its competitors, putting it in a strong Mkt Cap (£m) 1,170 position as charges take a higher profile. EV (£m) 1,120 Free Float* 36.5% ► Plenty of scope for platform expansion: Investment platforms are an obviously Market LSE Full listing good way to concentrate the administration and custody of investments in one *As defined by LR 6.14 of the Listing Rules place, while offering a huge variety of investment choice, and freeing investors and advisers to focus on what they do best. -
Liste Des Entreprises D'investissement Relevant
LISTE DES ENTREPRISES D'INVESTISSEMENT RELEVANT DU DROIT D'UN AUTRE ETAT MEMBRE DE L'ESPACE ECONOMIQUE EUROPÉEN QUI ONT NOTIFIÉ LEUR INTENTION DE FOURNIR DES SERVICES D'INVESTISSEMENT EN BELGIQUE SOUS LE RÉGIME DE LA LIBRE PRESTATION DE SERVICES Article 11 de la loi du 25 octobre 2016 relative à l'accès à l'activité de prestation de services d'investissement et au statut et au contrôle des sociétés de gestion de portefeuille et de conseil en investissement (*) Services et activités d'investissement, visés à l'article 2, 1°, de la loi du 25 octobre 2016 : • 1. La réception et la transmission d'ordres portant sur un ou plusieurs instruments financiers, en ce compris la mise en rapport de deux ou plusieurs investisseurs permettant ainsi la réalisation, entre ces investisseurs, d'une opération ; • 2. L'exécution d'ordres au nom de clients; • 3. La négociation pour compte propre; • 4. La gestion de portefeuille; • 5. Le conseil en investissement; • 6. La prise ferme d'instruments financiers et/ou le placement d'instruments financiers avec engagement ferme; • 7. Le placement d'instruments financiers sans engagement ferme; • 8. L'exploitation d'un système multilatéral de négociation (MTF); (**) Services auxiliaires, visés à l'article 2, 2°, de la loi du 25 octobre 2016 : • 1. La conservation et l'administration d'instruments financiers pour le compte de clients, y compris la garde et les services connexes, comme la gestion de trésorerie/de garanties; • 2. L'octroi d'un crédit ou d'un prêt à un investisseur pour lui permettre d'effectuer une transaction sur un ou plusieurs instruments financiers, dans laquelle intervient l'entreprise qui octroie le crédit ou le prêt; • 3. -
Preliminary Results 2019 V3.Indd
Press Release 4 March 2020 PRELIMINARY RESULTS FOR THE YEAR ENDED 31 DECEMBER 2019 Share plc (AIM: SHRE.LN), parent company of The Share Centre Limited (a leading independent retail stockbroker), announces its preliminary unaudited results for the year ended 31 December 2019. HIGHLIGHTS SUMMARY • Further good progress, strategically and operationally, against a challenging trading backdrop – assets under administration up 25% to a record £6.1bn at year end (2018: £4.9bn) • As announced on 17 February 2020, the Board has agreed a Recommended Offer for Share plc with Interactive Investor, which is now progressing through legal, shareholder and regulatory approvals FINANCIAL • Revenue up by 7% to a record £22.6m (2018: £21.0m) – helped by acquisitions of customer accounts – commission income was £10.0m (2018: £10.9m) – fee income grew by 19% to a record £9.3m (2018: £7.8m) – interest income increased by 41% to £3.3m (2018: £2.3m), reflecting the full year effect of bank base rate increases • Revenue market share excluding interest (*) was 3.68% (2018: 3.78%) • Reported loss before tax was £133,000 (2018: loss of £22,000), including £0.6m of one-off corporate costs • Reported EBITDA up 84% to £0.9m (2018: £0.5m) • Underlying (**) EBITDA up 92% to £2.3m (2018: £1.2m) • Underlying (**) earnings up 70% to £1.1m (2018: £0.6m); • Underlying (**) basic earnings per share increased to 0.8p (2018: 0.4p); reported basic losses per share of 0.1p (2018: 0.0p) • Balance sheet is strong, with shareholders’ funds of £20.4m or 14.2p per share (2018: £19.5m or 13.5p per share) • Cash balances increased at year end to £12.7m (2018: £9.0m) following the sale of the majority of the Group’s stake in the London Stock Exchange Group plc • Given the agreement reached with Interactive Investor, no final dividend is proposed (2018: 0.55p per share) OPERATIONAL • Continued expansion of the customer base, through strategy of partnerships and account acquisitions – c.13,000 customer accounts from J.P. -
How to Make Money in Isas and Sipps Tax-Efficient Investing Made
Foreword by RICHARD KOCH, author of The 80/20 Principle with over a million copies sold in 34 languages How to Make Money in ISAs and SIPPs Tax-Efficient Investing MadeREVIEW Easy COPY STEPHEN SUTHERLAND BESTSELLING AUTHOR OF Liquid Millionaire How to Make Money in ISAs and SIPPs Tax-Efficient Investing Made Easy Stephen Sutherland REVIEW COPY 4 How to Make Money in ISAs and SIPPs This book is dedicated to my parents, Brian and Marie Sutherland, the greatest mum and dad a son could wish for. I love you both so much and greatly appreciate all the help and support you’ve given to me. You are both amazing! REVIEW COPY How to Make Money in ISAs and SIPPs 5 How to Make Money in ISAs and SIPPs was compiled in aid of The Christie; a specialised cancer centre. 100% of the book royalties will be donated to the charity. The Christie played a big part in helping our mum fight and beat lung cancer. For their love, help and support, we are truly grateful. About The Christie The Christie (Registered Charity Number 1049751) is a specialised cancer centre with a long standing reputation (since 1901) for high quality diagnosis, treatment and care for cancer patients. Based in Manchester and covering a population of 3.2 million, we register around 12,500 new patients and treat about 40,000 patients every year. Approximately 15% of patients, often with complex or rare cancers are referred here from other hospitals around the UK. Not only is The Christie the largest single-site cancer hospital in Europe, it is also a world- leader in cancer research, from where groundbreaking research has led to the development of many new cancer treatments. -
Model Market Center Disclosure Brochure: Form ADV, Part 2-TDI 0521
Model Market Center® Disclosure Brochure FORM ADV, PART 2 Mailing address: TD Ameritrade Institutional 7801 Mesquite Bend Drive Suite 112 Irving, TX 75063-6043 Main: 800-400-6288 Option 3, then 4 tdameritrade.com May 14, 2021 This brochure provides prospective clients with information about TD Ameritrade, Inc. (“TD Ameritrade”) that should be considered before or at the time of participating in the TD Ameritrade Institutional Model Market Center program. If you have any questions about the contents of this brochure, please contact us at 800-400-6288, Option 3, then 4. The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority. Additional information about TD Ameritrade, Inc. is also available on the SEC’s website at adviserinfo.sec.gov. The IARD/CRD number for TD Ameritrade is CRD # 7870. TD Ameritrade Institutional is a division of TD Ameritrade, Inc. TD Ameritrade is registered with the United States Securities and Exchange Commission as a Registered Investment Adviser. Registration with the United States Securities and Exchange Commission or any state securities authority does not imply a certain level of skill or training. IMPORTANT INFORMATION IS CONTAINED THROUGHOUT THIS DISCLOSURE DOCUMENT. PLEASE READ IT CAREFULLY IN ITS ENTIRETY, AND BE CERTAIN TO ASK YOUR TD AMERITRADE RELATIONSHIP MANAGER IF YOU HAVE ANY QUESTIONS. YOU MAY NOT PARTICIPATE IN THE MODEL MARKET CENTER PROGRAM UNTIL YOU EXECUTE MODEL MARKET CENTER PROGRAM TERMS AND CONDITIONS WHEREIN YOU ACKNOWLEDGE THAT, AMONG OTHER THINGS, YOU HAVE READ AND UNDERSTAND THIS DISCLOSURE STATEMENT. -
TD Bank Announces Cash Tender Offer for TD Waterhouse Group, Inc
TD Bank announces cash tender offer for TD Waterhouse Group, Inc. Oct 10, 2001 TD Bank cash offer of US$9 per share (or the Canadian dollar equivalent) represents a 45% premium to shareholders over yesterday's closing price. "Going private" transaction would see TD acquire the approximately 12% of TD Waterhouse common shares it does not already own. TORONTO/NEW YORK, Oct. 10 /CNW/ - The Toronto-Dominion Bank (TD Bank) (NYSE/TSE: TD), through its wholly owned subsidiary, TD Waterhouse Holdings, Inc., today announced a tender offer for all of the approximately 12% of the outstanding shares of TD Waterhouse Group's common stock that TD Bank and TD Waterhouse Holdings do not already own. TD Bank is offering to acquire the balance of TD Waterhouse Group's stock at US$9 per share (or the Canadian dollar equivalent) in cash, representing a 45% premium over yesterday's closing price of US$6.20. The offer is conditioned upon the acquisition of sufficient shares such that TD Bank will own at least 90% of the outstanding TD Waterhouse Group common stock. Any shares not acquired in the tender offer are expected to be acquired in a subsequent "short form" merger transaction at the same US$9 per share (or the Canadian dollar equivalent) cash price. TD Bank intends to fund the tender offer, in part, through a common equity offering in Canada of CDN$350 million, led by TD Securities. The shares will be issued at a price of CDN$36.50 per share. The tender offer for TD Waterhouse is not conditioned on completion of the common equity offering. -
IDC Finance Technology Conference 20 Ekim 2016
FinTech İstanbul Platformu Prof. Dr. Selim YAZICI Co-Founder FinTech Istanbul @SelimYazici IDC Finance Technology Conference 20 Ekim 2016 Nedir bu FinTech? Girişimcilik dünyasında 2014 yılından beri en çok duyulan kelime: “FinTech” Bankacılık Sigortacılık “Finansal HİZMET” sağlamak için “TEKNOLOJİ” kullanımı ! Aracı Kurumlar FinTech Neden Gündemde? Finans dünyasına, dijitalleşme ile çözüm: “Yeniden Yapılanma” Dijital kanallardan anında; hızlı esnek bireysel çözümler sunar FinTech Neden Gündemde? “Dijital Dönüşüm” Dijital kanallardan anında; hızlı esnek bireysel çözümler sunar FinTech Finansal Hizmetler Dünyasını Yeniden Şekillendirecek “Korkunun Ecele Faydası Yok” • Önümüzdeki 5 yıl içinde global FinTech yatırımlarının 150 Milyar USD’yi aşması bekleniyor. • FinTech’ler %100 müşteri odaklı • Müşterinin çektiği acıyı biliyorlar • Yeni iş modelleri ile yeni ürün ve hizmetleri getiriyorlar • FinTech Startupları geleneksel şirketlerin işlerini tehdit edebilir • Blockchain Teknolojisi çok şeyi değiştirecek Çözüm: “Rekaberlik” Dünyada FinTech Sadece Aralık 2015’de 81 FinTech girişimi 1 milyar USD yatırım aldı. 894 224 Sadece Google, son 5 yılda 37 farklı FinTech 2010 2011 2012 2013 2014 2015 yatırımı yaptı Son 5 yılda FinTech odaklı girişim sermayesi (VC) sayısı Dünyada FinTech Yatırımları DEsignED BY POWERED BY PIERRE DREUX Fintech Landscape Banking & Payment (356) Investments (108) Financing (196) Insurance (82) Banking (54) P2P Lending (49) Banking Personal Finance Investment P&C Reinsurance (6) Platforms Mobile Virtual Banking (9) - Expense