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TD Ameritrade Holding Corp. 
 NE
  SEC # 1173431


        
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2,679  SEC Filings
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  from  5/17/02  to  10/16/20  (None in the Past Year)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘15-15D’ — Notice of a Suspension of Duty to File Reports — Form 15 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  TD Ameritrade Holding Corp. 

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Forms
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, Documents
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& Exhibits
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 in  596 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
10/16/20 OLD15-15DUpdate:  Notices of Suspensions of Duty to File Reports — Form 15  OLD 2
10/16/20 OLD15-12BRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
10/13/20 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 4
10/6/20 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 15
10/6/20 OLDPOS AMRegistration:  Post-Effective Amendments of Registration Statements  OLD 5
10/6/20 OLDPOSASRRegistration:  Post-Effective Amendments of Automatic Shelf Registration Statements — Form S-3/F-3ASR  OLD 5
10/6/20 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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 — Financial Reports
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233

8-K Items: 
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10/6/20 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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59
5/20/19 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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8
10/6/20 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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3
7/21/20 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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66
8/3/20 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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20
3/29/10 OLD"Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement — Item 2.04  OLD  — ‘EX-10’
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2
10/6/20 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 5
9/18/17 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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3
10/6/20 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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2
11/23/05 OLD
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ‘EX-16’
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2
11/18/05 OLD"Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD 3
10/6/20 OLD
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  Governance & Management: 
Changes in Control of Registrant — Item 5.01  OLD 1
10/6/20 OLD"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers
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68
10/6/20 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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6
5/29/07 OLD"Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans — Item 5.04  OLD 3
6/4/20 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 10
10/6/20 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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9
9/30/20 OLD
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  Events: 
Other Events — Item 8.01  OLD 26
10/6/20 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports
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145

8/6/20 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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60
6/4/20 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 38
5/27/20 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 78
5/6/20 OLDDEFM14AProxy:  Definitive Proxy Statements – Mergers & Acquisitions — Schedule 14A  OLD 2
1/27/20 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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24
8/15/19 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 12
8/13/19 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 7
7/31/19 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 7
12/31/18 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 17
8/8/18 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 5
12/14/17 OLD424B7Registration:  Prospectus – Selling Security Holders – Info Previously Omitted  OLD 1
9/18/17 OLDS-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD 4
2/15/17 OLDNO ACTSEC:  SEC No-Action Letter re: a Shareholder Proposal  OLD 1
6/3/16 OLD11-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K  OLD 15
12/14/15 OLDCERTNASTrading:  Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD 1
12/11/15 OLD25Trading:  Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities — Form 25  OLD 2
12/1/15 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 2
3/2/15 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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20
1/23/15 OLDARSUpdate:  Annual Report to Security Holders  OLD 1
3/8/13 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 5
4/17/12 OLDCERTNYSTrading:  Certification by the NYSE Approving a Listing — Form CERT  OLD 1
5/8/09 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 2
5/6/09 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 9
3/26/07 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 2
12/27/06 OLDSC TO-COwnership:  Tender-Offer Communication by an Issuer or Third Party — Schedule TO  OLD 1
12/1/05 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD 4
9/19/05 OLDSC14D9COwnership:  Tender-Offer Communications by Issuers re: Third-Party Offers — Schedule 14D-9C  OLD 6
9/12/05 OLDPREM14AProxy:  Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
12/9/04 OLDNT 10-KUpdate:  Notice of a Late Filing of a Form 10-K Annual Report — Form 12b-25  OLD 1
11/14/03 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
11/13/03 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 3
9/5/02 OLD8-A12GRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1

Letters: 
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11/22/05 OLDCOVERComment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC2

General Exhibits: 
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10/6/20 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 15
10/6/20 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 22
10/6/20 OLDEX-10Material Contracts  OLD 192
5/15/20 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 10
11/15/19 OLDEX-23Consents of Experts and Counsel  OLD 77
11/15/19 OLDEX-21Subsidiaries Lists  OLD 19
8/16/19 OLDEX-5Opinions of Counsel re: Legality  OLD 26
8/16/19 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 8
4/19/17 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 4
2/4/11 OLDEX-14Codes of Ethics  OLD 3
5/6/09 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 8

Additional Exhibits: 
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10/6/20 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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163

Financials: 
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10/6/20 OLDXML  &  R#IDEA Financial Reports Info  OLD  — Financial Reports
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2,888
10/6/20 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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67
10/6/20 OLDEX-101.*XBRL Data  (XBRL Files)  OLD 298
10/6/20 OLDJSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  OLD 25
10/6/20 OLDZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  OLD 
60
8/6/20 OLDEX-15Letters re: Unaudited Interim Financial Info  OLD 82
8/6/20 OLDEX-31Certifications — §302 – SOA’02  OLD 160
8/6/20 OLDEX-32Certifications — §906 – SOA’02  OLD 77
11/16/18 OLDEX-12Statements re: Computations of Ratios  OLD 15
11/23/05 OLDEX-16Letters re: Changes in Accountants  OLD 4

Graphics: 
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10/6/20 OLDGRAPHICPhotos, Images and Graphs  OLD 1,238


Forms
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, Documents
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& Exhibits
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 in  2,137 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
10/7/20 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 1,865
10/7/20 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 42
10/6/20 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1
6/4/20 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 56
1/10/20 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 42
12/9/19 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 50
8/13/19 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 7
2/9/15 OLD5Ownership:  Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5  OLD 1
11/16/12 OLD144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 144  OLD 27
3/26/07 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 2
12/27/06 OLDSC TO-COwnership:  Tender-Offer Communications by Issuers and Third Parties — Schedule TO  OLD 16
9/19/05 OLDSC14D9COwnership:  Tender-Offer Communications by Issuers re: Third-Party Offers — Schedule 14D-9C  OLD 6

Letters: 
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3/26/15 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC22

General Exhibits: 
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5/15/20 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 3
12/9/19 OLDEX-24Powers of Attorney  OLD 45
11/27/19 OLDEX-10Material Contracts  OLD 10
11/26/19 OLDEX-19Report Furnished to Security Holders  OLD 1
3/16/12 OLDEX-14Code of Ethics  OLD 1
11/8/11 OLDEX-13Annual or Quarterly Report to Security Holders  OLD 1
8/13/10 OLDEX-8Opinion of Counsel re: Tax Matters  OLD 1
8/13/10 OLDEX-9Voting Trust Agreement  OLD 1
8/5/05 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 10

Additional Exhibits: 
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10/6/20 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 63

Financials: 
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9/20/17 OLDEX-16Letter re: a Change in Accountant  OLD 1
1/20/11 OLDEX-11Statement re: the Computation of Earnings Per Share  OLD 1
1/20/11 OLDEX-12Statement re: the Computation of Ratios  OLD 1
8/13/10 OLDEX-7Correspondence from an Accountant re: Non-Reliance on a Previously Issued Audit Report or Completed Interim Review  OLD 1

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6/4/20 OLDGRAPHICPhotos, Images and Graphs  OLD 485


        

Filings History

Year    # of Filings
In descending order
2020 143
2019 120
2018 98
2017 118
2016 122
2015 129
2014 142
2013 189
2012 143
2011 186
2010 122
2009 193
2008 82
2007 84
2006 161
2005 201
2004 358
2003 69
2002 19

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