Disclosures

Secure and reliable access to your account information is one of our highest priorities. In the event of a disruption, we’ve developed a plan that is intended to permit the firm to maintain business operations.

View our Business Continuity Plan

We pride ourselves on giving clients a safe and stable environment in which to pursue their investment strategies. To help answer any questions or concerns you may have, we publish our annual Financial Statement audited by an Independent Registered Public Accounting Firm and an unaudited mid-year Financial Statement. 

View TD Ameritrade Clearing, Inc.’s audited Financial Statement as of 12/31/22

View TD Ameritrade Clearing, Inc.’s unaudited Financial Statement as of 6/30/23 

The U.S. Securities and Exchange Commission’s Rule 606 requires brokers that route equity and option orders to make available quarterly reports (broken out by month) that provide statistical details regarding their routing practices.  The report details the market centers (e.g., exchanges, market makers or alternative trading systems) that brokers route to and the material aspects of the brokers’ relationship with those market centers.   TD Ameritrade, Inc. (“TD Ameritrade”) routes orders to its affiliate TD Ameritrade Clearing, Inc. (“TD Ameritrade Clearing”) and to third-party market centers.  TD Ameritrade Clearing does not execute client orders, but rather, routes the orders it receives from TD Ameritrade to third-party market centers.  As a result, both reports are presented to understand how TD Ameritrade’s orders are routed to market centers for execution.   

The reports detail the per share/per contract amounts as well as the total amount of payments received by TD Ameritrade and TD Ameritrade Clearing based on the orders each firm routes to third party market centers.   

Rule 606 exempts broker-dealers from disclosing execution venues that received less than 5% of non-directed orders provided that 90% of the non-directed orders are disclosed.  As a result, overall totals may not equal 100%.  

As required under SEC Rule 606(b)(1), on request, TD Ameritrade will provide the identity of the market center to which your orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the executions, if any, that resulted from such orders.  This applies to both held and not held orders.

View TD Ameritrade Clearing, Inc.’s SEC 606 Order Disclosure

View TD Ameritrade Clearing, Inc.’s SEC 606 Order Disclosure XML

View TD Ameritrade, Inc.’s SEC 606 Order Disclosure

View TD Ameritrade, Inc.’s SEC 606 Order Disclosure XML

View Historical 606 Disclosures

The CFTC’s § 1.55 and the NFA’s Rule 2-36 require Futures Commission Merchants (“FCMs”) and Forex Dealer Members (“FDMs”) to disclose specific information on its website. In accordance with these rules, Charles Schwab Futures and Forex LLC ("Schwab Futures and Forex") is providing the following information:

Schwab Futures and Forex’s Disclosures

Schwab Futures and Forex’s CFTC 1.55 Disclosure Document

View Schwab Futures and Forex’s Disclosure Document

Schwab Futures and Forex’s NFA 2-36 Disclosure Document

View Schwab Futures and Forex's Disclosure Document

Schwab Futures and Forex’s daily statement (for the most current 12-month period) of Segregation Requirements and Funds in Segregations for Customers Trading on U.S. Exchanges, Customer Secured Funds for 30.7 and Customer Segregated Cleared Swaps under Section 4d(f).

At this time, Schwab Futures and Forex’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, Schwab Futures and Forex’s does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.

View Schwab Futures and Forex’s Daily Segregated Requirements

View Schwab Futures and Forex's Daily Segregated Requirements - Septemer 2023

View Schwab Futures and Forex's Daily Segregated Requirements - August 2023

View Schwab Futures and Forex's Daily Segregated Requirements - July 2023

View Schwab Futures and Forex's Daily Segregated Requirements - June 2023

View Schwab Futures and Forex's Daily Segregated Requirements - May 2023

View Schwab Futures and Forex's Daily Segregated Requirements - April 2023

View Schwab Futures and Forex's Daily Segregated Requirements - March 2023

View Schwab Futures and Forex's Daily Segregated Requirements - February 2023

View Schwab Futures and Forex's Daily Segregated Requirements - January 2023

View Schwab Futures and Forex's Daily Segregated Requirements - December 2022

View Schwab Futures and Forex's Daily Segregated Requirements - November 2022

View Schwab Futures and Forex's Daily Segregated Requirements - October 2022

View Schwab Futures and Forex's Daily Segregated Requirements - September 2022

Schwab Futures and Forex’s adjusted net capital, net capital and excess net capital in accordance with §1.17 and reflecting balances as of the month-end for the 12 most recent months.

View Schwab Futures and Forex’s Monthly Adjusted Net Capital, Net Capital & Excess Net Capital

Schwab Futures and Forex’s most current certified annual report pursuant to §1.16 and schedules

View Schwab Futures and Forex audited Statement of Financial Condition and Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as of 12/31/22

At this time, Schwab Futures and Forex’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, Schwab Futures and Forex’s does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.

Schwab Futures and Forex’s total forex customer liability as reported each day to the NFA on the Forex Financial Report for the last 12 months.

View Schwab Futures and Forex's total forex customer liability as reported daily - September 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - July 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - June 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - May 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - April 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - March 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - February 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - January 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - December 2022

View Schwab Futures and Forex's total forex customer liability as reported daily - November 2022

View Schwab Futures and Forex's total forex customer liability as reported daily - October 2022

View Schwab Futures and Forex's total forex customer liability as reported daily - September 2022

Schwab Futures and Forex’s CFTC  § 5.5(e) disclosure for each of the most recent four calendar quarters during with the FDM maintained retail forex customer accounts.

View Schwab Futures and Forex’s CFTC § 5.5(e) Disclosure

Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as part of Schwab Futures and Forex’s unaudited Form 1-FR-FCM for the most current 12-month period.

View Schwab Futures and Forex’s Monthly Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges19

At this time, Schwab Futures and Forex’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, Schwab Futures and Forex’s does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.

To learn how Schwab Futures and Forex’s invests and holds customer funds, please see the National Futures Association’s Basic System.

View Schwab Futures and Forex’s NFA Financial Reporting

To view additional financial information on all futures commission merchants available from the Commodity Futures Trading Commission.

View CFTC Financial Data for FCMs

*Prior to a name change in September 2021, Charles Schwab Futures and Forex LLC was known as TD Ameritrade Futures & Forex LLC.