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BUSINESS & SOLUTIONS UPDATEJULY 2012
TABLE OF CONTENTSSolutionsInvestment Solutions ___________________________________________________________ 2Practice Management Solutions __________________________________________________ 5
UpdatesTechnology __________________________________________________________________ 7What’s Going On in the Industry _________________________________________________ 11
ResourcesInvestment Managers _________________________________________________________ 13Affinity Services Providers _____________________________________________________ 15 Research Reports ____________________________________________________________ 17
Events & EducationWhere in the World Is TD Ameritrade Institutional? ___________________________________ 20TD Ameritrade Advisor Education ________________________________________________ 21 Web Training Sessions ________________________________________________________ 22
[ 2 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
SOLUTIONS INVESTMENT SOLUTIONS
Seize the Opportunity to Help Clients Transfer Wealth Assisting your high-net-worth clients with decisions about transferring their wealth is key to providing them with comprehensive financial planning. Estate tax relief enacted at the end of 2010 offers unprecedented opportunities for these clients to transfer wealth through the end of 2012, so now is the time to engage them in a thoughtful decision-making process.
A new article from Wilmington Trust Company can help you understand and discuss how to transfer wealth in a way that may best meet a client’s objectives and protect their family. “Seizing the Opportunity to Make Gifts that Work for Families” includes helpful details about:
• The decisions families need to consider as they transition wealth to the next generation
• Helpful ways to transfer wealth in a tax-efficient way during this exceptional window of opportunity
Read the full article.
Learn MoreTD Ameritrade Institutional maintains a strategic relationship with Advisory Trust, a subsidiary of Wilmington Trust Company, and other companies that are part of our Affinity Services Providers. These independent firms often offer preferred pricing to advisors that work with TD Ameritrade Institutional.
To see all third-party service providers in our Affinity Services Program, go to Veo® > Resource Center > Practice Management > Affinity Services.
TD Ameritrade and Wilmington Trust Company are separate and unaffiliated companies and are not responsible for each other’s policies or services. Access to Affinity Services Program vendors is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD Ameritrade Insti-tutional. These services are offered at a discount directly through the participating vendors. Participating vendors are independent and are not employees or agents of TD Ameritrade. TD Ameritrade does not guarantee nor is it responsible for the quality or accuracy of any vendor’s product or service. In no instance should the listing of a vendor be construed as a recommendation or endorsement by TD Ameritrade. Furthermore, TD Ameritrade does not recommend or endorse any secu-rity described by any vendor.
[ 3 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
SOLUTIONS INVESTMENT SOLUTIONS CONTINUED
Grow Your Business by Growing Your Options Knowledge Learn about options strategies designed to help manage risk, minimize the effects of volatility, and potentially enhance returns in your clients’ portfolios: Attend a TD Ameritrade Institutional Options Market Center Workshop.
Tailored to your level of options experience, the Workshop Series addresses everything from the fundamentals to the intricacies of options strategies. Join us for an informative, hands-on, and personalized options education workshop.
About the WorkshopsEach workshop is designed to help you:
• Use options strategies designed to potentially enhance portfolio returns
• Learn how to identify and implement risk-defined options strategies
• Better communicate with your clients the ways that options can be used to help mitigate risk and potentially minimize the effects of volatility within a portfolio
• Tap into the Strategy Desk for options-related expertise and guidance
About Options Market CenterTD Ameritrade Institutional’s Options Market Center is a comprehensive options offering, including:
• Education — Attend one of our workshops or webcasts to learn about risk-defined options strategies and about explaining to your clients how options strategies can be used to help mitigate risk and potentially mini-mize the effects of volatility.
• Technology — Monitor the markets and place your orders on thinkpipes, a next-generation, innovative soft-ware. thinkpipes integrates with Veo®, our core account management and trading platform. For more informa-tion, go to Veo > Resource Center > Technology Solutions > thinkpipes.
• Expertise — Consult with a specialist on the Strategy Desk. Our team of seasoned industry veterans provides options-related expertise and guidance to help you to make the most appropriate decisions for your clients’ portfolios. For more information call (800) 277-0816 or email [email protected].
Attend a Workshop and Gain CE CreditsHelp grow your practice and differentiate your firm by building your options knowledge. When you attend a workshop, you earn eight Certified Financial Planner™ (CFP™) continuing education (CE) credits.
Register Now for an Upcoming Workshop
Thursday, August 2, 2012Bellevue, WA8:30 a.m. to 4:30 p.m. PT
[ 4 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
SOLUTIONS INVESTMENT SOLUTIONS CONTINUED
Got to www.tdameritradeconferences.com/options to view the full agenda, and to find additional dates and locations.
Options are not suitable for all investors as the special risks inherent to options trading may expose investors to potentially rapid and substantial losses. Options trading subject to TD Ameritrade review and approval. Please read Characteristics and Risks of Standardized Options before investing in options.
[ 5 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
SOLUTIONS PRACTICE MANAGEMENT SOLUTIONS
Build a Marketing Plan to Accelerate Business Growth A focused marketing plan is an integral part of any firm’s growth strategy. In fact, 68% of advisors believe that refer-rals and marketing are the areas with the most potential to boost their business growth1.
Our latest guidebook, An Advisor’s Guide to Marketing—Developing an Actionable Marketing Strategy, will encourage you to closely examine your current marketing strategy. It offers best practices for creating a marketing plan that is specific to your business needs, and includes details about the following steps:
1. Developing your business plan
2. Creating your value proposition
3. Creating an effective marketing strategy
4. Building your marketing plan
5. Implementing your plan and measuring results
To learn more, download the PDF of the guidebook by going to Veo® > Resource Center > Practice Management > Marketing and Business Development or access the replay of the webcast Developing a Marketing Strategy for Growth (April 30, 2012).
1Rydex|SGI AdvisorBenchmarking Research Study 2011 Edition.
[ 6 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
SOLUTIONS PRACTICE MANAGEMENT SOLUTIONS CONTINUED
Discover Tools to Manage Your Business: Attend a 2012 Advisor Operations Workshop Identifying and implementing efficiencies within your business can help enable you to provide better client service, increase client retention, and help you fulfill your fiduciary obligation. Our two-day workshops on operational solutions were developed to help you and your employees achieve these goals.
Designed for new and seasoned advisors and their staff, our complimentary workshops focus on the operational func-tions of independent RIA firms. You will learn about industry standards and regulatory requirements that may affect your business operations, and gain the insights you need to help you provide better client service. If you attended a workshop in the past, you may wish to attend day one again for a refresher or only attend day two for completely new content.
Attend one or both days of our workshop sessions, in the city that fits your schedule:
Jersey City, NJWestin Jersey CitySeptember 20-21
Atlanta, GAWestin BuckheadOctober 10-11
Space is Limited - Register Today
Learn more about the Advisor Operations Workshop Series, including a detailed agenda, and register to attend at tdameritradeconferences.com/operationsworkshop.
[ 7 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
UPDATES TECHNOLOGY
Gain Efficiency in Managing Corporate Retirement Plans If you advise corporate retirement plans that are custodied with TD Ameritrade Trust Company, you can leverage portfo-lio management system files for increased efficiency.
TD Ameritrade interfaces directly with many portfolio management systems, giving you streamlined access to plan-level position, transaction, and demographic files.
The portfolio management systems supported include:
• Advent® ACD; Advent Software, Inc.
• Albridge™ Solutions
• Black Diamond
• CAPTOOL Professional Investor; CAPTOOLS, Inc.
• dbCams
• Interactive Advisory Software (IAS)
• Morningstar® Office
• Orion Advisor Services
• PortfolioCenter® (formerly Centerpiece®); Schwab Performance Technologies®
• Tamarac™
Get StartedWe can guide you through the setup process. To get started, please contact the Retirement Plan Solutions Sales Team at 866-827-5894.
TD Ameritrade Trust Company is a non-depository trust company, acts as a custodian and/or directed trustee and is not a member of FINRA, SIPC or NFA. TD Ameritrade Trust Company is a subsidiary of TD Ameritrade Holding Corporation.
[ 8 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
UPDATES TECHNOLOGY CONTINUED
Get Connected: Follow TD Ameritrade Institutional on LinkedIn In an effort to stay better connected with you, and share information in ways suited to your daily routine, we are excited to announce that TD Ameritrade Institutional has launched a LinkedIn Company Page. Follow us† today, and stay up-to-date with:
• TD Ameritrade Institutional insights and thought leadership
• Company news and announcements
• New product launches and existing product enhancements
• Industry news
• Upcoming events
• Social media best practices and education for advisors
You can also use the TD Ameritrade Institutional Company Page to connect with advisors like you, and with leaders in our industry.
We recognize that social media channels are becoming increasingly important to the way you do business every day. In fact, recent studies have shown that over 70% of financial advisors are using social media platforms to conduct business today.1 So we encourage you to follow us† on LinkedIn, and stay up-to-date with the latest news and infor-mation from TD Ameritrade Institutional.
And stay tuned for upcoming announcements on Veo and on LinkedIn, detailing additional ways you’ll be able to con-nect and engage with us via social media in the future.
1Source: LinkedIn Survey May 2012
† Please note that by clicking on the hyperlink provided you will enter an unaffiliated third-party website to access its products and services. The third-party site is gov-erned by its posted privacy policy and terms of use, and the third party is solely responsible for the content and offerings on its website.
[ 9 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
UPDATES TECHNOLOGY CONTINUED
iRebal Offers an Enhanced Experience iRebal just announced its latest enhancements during the 2012 iRebal User Conference, at which it registered its highest-ever attendance. The user interface has been updated with a fresh look and feel, giving iRebal users much efficiency through new navigational features, and also improving client service with a new customized allocation report.
Navigational EfficienciesNavigational enhancements from iRebal’s new, highly intuitive user interface can help significantly improve the user experience. Key features include:
• More visible menus: Access key features faster and view additional functionality more easily on horizontal ribbon menus.
• Tabbed screen structure: Launch multiple “active” tabs, for quicker navigation between workflows and setting controls.
• Multiple workspaces: Create stand-alone windows by simply dragging a tabbed section away from the main application window.
• More effective use of your screens: Multi-task more effectively by moving stand-alone windows to your other monitors, leveraging multi-monitor configurations.
• Highlighted workflows: Workflows and setting controls are now highlighted with icons, reducing the “hunt and peck” typical of some user navigation.
Customizable Allocation ReportTo help you improve client communications, the new customizable allocation report can be used as a supplement to quarterly reports or during client meetings. You can also brand the report with your firm’s logo.
Streamlined Software UpdatesDevelopment and maintenance release cycles are now more timely and agile. Starting with the next release of updates, scheduled for the end of summer, iRebal software will automatically download and install updates for its users.
If you have any questions, please contact Justin Di Filippo.
iRebal products and services property of ThinkTech, Inc., an affiliate of TD Ameritrade, Inc.
[ 10 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
UPDATES TECHNOLOGY CONTINUED
Find Information on Managed Account Solutions More Easily Now on Veo®, you can find product pages focused on Managed Account Solutions. This section of the site is designed to provide you with a central location for learning more about our products and solutions.
Go to Veo > Resource Center > Investment Solutions > Managed Account Solutions to find detailed information on:
• Separate Account Exchange (SAE)
• Unified Managed Account Exchange (UMAX)
• Managed Assets Program (MAP)
• Third-Party Providers (TAMPS)
Each of these investment solutions can offer your clients access to institutional-caliber managers and personalized solutions. You get a dedicated support team to help simplify account setup and processing, and help you select the right choices for yourself and your clients.
To learn more, go to Go to Veo > Resource Center > Investment Solutions > Managed Account Solutions. If you have questions, please contact the Managed Accounts Service Team at 888-833-5544 or [email protected].
Access to Managed Account Solution programs is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD Ameritrade Institutional. Participating investment managers are independent and are not employees or agents of TD Ameritrade. TD Ameritrade does not guarantee nor is respon-sible for the quality or accuracy of any investment manager’s product or service. In no instance should the listing of an investment manager be construed as a recom-mendation or endorsement by TD Ameritrade. Please contact the investment manager directly for the most recent information pertaining to their investment styles and management fees.
[ 11 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
UPDATES WHAT’S GOING ON IN THE INDUSTRY
SRO Debate Continues in Congress On June 6, 2012, the House Financial Services Committee held a hearing to discuss the Investment Adviser Over-sight Act of 2012 (H.R. 4624). The bill, which was sponsored by Spencer Bachus (R-AL) and Carolyn McCarthy (D-NY), would establish one or more self-regulatory organization (SROs) to oversee investment advisors.
Topics discussed at the June hearing included:
• Securities and Exchange Commission (SEC) user fees
• Investment advisor SRO
• Cost-benefit analysis, rulemaking process, and transparency
• State regulation
Testimony at the hearing made it clear that it was unlikely the SEC would receive an increase in funding in order to help it increase its oversight of advisors – and diminish the perceived need for an SRO.
Background H.R. 4624 would effectively change the Investment Advisers Act of 1940 by providing for National Investment Adviser Associations (NIAAs) overseen by the SEC. The push for such legislation arose from the widespread agreement that, at its current funding level, the SEC cannot effectively manage the regulation of investment advisors on its own.
ConcernsThe SRO approach is supported by some industry groups, such as the Securities Industry and Financial Markets Association (SIFMA), Financial Services Institute (FSI), National Association of Insurance Financial Advisors (NAIFA), and the Financial Industry Regulatory Association (FINRA).
However, others – such as the Investment Adviser Association (IAA), Financial Planning Association (FPA), The Certified Financial Planner Board of Standards, Chartered Financial Analyst (CFA) Institute, and the National Association of Personal Financial Advisors (NAPFA) – have raised concerns about the approach. Concerns include its potential impact on small investment advisory firms, and the potential for the approach to limit investor choices for financial advice.
TD Ameritrade Institutional AdvocacyIn June Skip Schweiss, Managing Director of Advisor Advocacy and Industry Affairs for TD Ameritrade Institutional, met with numerous Congressional teams in Washington, D.C. to express advisor views, and attended the SRO hear-ing conducted by Chairman Bachus. We continue to encourage advisors to make their views heard on this topic of direct impact on their businesses.
[ 12 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
UPDATES WHAT’S GOING ON IN THE INDUSTRY CONTINUED
We are committed to contributing to discussions occurring in Congress and at the SEC around this critical issue. We encourage you to join us and do the same: Make your voice heard. You can use this sample letter we created to help you inform your Congressional representative(s) of your view. Find your representatives’ contact information here:
- Senate
- House of Representatives
Additional InformationFor more details about key points of the bill, read our article in the June issue of Business & Solutions Update, which covered the impact on RIA registration, exemptions, and rules for SROs.
We have hosted numerous webcasts on this topic. To view the webcast replays, go to Veo® > Market Information Center.
[ 13 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
RESOURCES INVESTMENT MANAGERS
Investment Strategies from Braver Capital Management and Wall Street Associates on Separate Account ExchangeIf you offer Managed Account Solutions, you can access investment strategies from Braver Capital Management and Wall Street Associates in a sub-advisory, dual contract, or model-based capacity.*
Braver Capital Management has been a pioneer in tactical investment management since 1987. With over 20 years of active investment experience, its investment strategies seek to avoid major market corrections while remaining focused on risk-adjusted performance.
Braver Capital Management was founded on the premise of downside protection. Its proprietary solutions seek to provide investors with the opportunity for this protection, and risk control, while still pursuing consistent compounding of returns. Its goal is to provide investors with positive investment returns by avoiding down markets while capturing a portion of up markets.
The firm manages proprietary tactical ETF separate accounts and model portfolios, offering the following available strategies:
• Braver Tactical Opportunity
• Braver Tactical Equity Sector Rotation
• Braver Dividend Income
• Braver High Yield
• Braver Tactical Balanced
For more information please visit www.bravercapital.com†, or contact Ted Welsh at 617-559-3418 or [email protected]. Wall Street Associates (WSA) was established in 1987 and is an employee-owned, SEC-registered investment advisor focused primarily on U.S. growth equity investments. The firm’s decades of dedication to its investment philosophy have focused on long-term performance and consistency of style in all market environments.
WSA’s investment team members average over 20 years of industry experience and over 10 years with the firm. Team members specialize in certain sectors or act as generalists for the benefit of all products, and actively deploy discovered growth themes across each of the firm’s product offerings. This model gives the team a continuously unfolding research perspective throughout a company’s lifecycle.
[ 14 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
The capitalization-segmented offerings available from WSA include:
• Micro Cap Growth
• Institutional Small Growth
• Small-Mid Cap Growth
• Mid Cap Growth
• Large Cap Growth
In addition, WSA offers the Global Environmental Efficiency Portfolio, an all-cap growth portfolio of public equities that are improving the efficiency of transportation and electric power. The objective of this portfolio is to maximize capital appreciation, and to do so in a sustainable manner. The strategy excludes companies that require subsidiza-tion.
To learn more about WSA, please contact Rob Knowles at 858-551-2108 or visit www.wsalj.com.†
*Access to Braver Capital Management and Wall Street Associates is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD Ameritrade Institutional. Braver Capital Management and Wall Street Associates and TD Ameritrade Institutional are separate, unaffiliated compa-nies and are not responsible for one another’s policies and services. TD Ameritrade Institutional does not guarantee nor is it responsible for the quality or accuracy of Braver Capital Management and Wall Street Associates products or services. In no instance should the listing of a Money Manager be construed as a recom-mendation or endorsement by TD Ameritrade Institutional. Furthermore, TD Ameritrade Institutional does not recommend or endorse any security described by any Money Manager.
† Please note that by clicking on the hyperlink provided you will enter an unaffiliated third-party website to access its products and services. The third-party site is governed by its posted privacy policy and terms of use, and the third party is solely responsible for the content and offerings on its website.
RESOURCES INVESTMENT MANAGERS CONTINUED
[ 15 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
RESOURCES AFFINITY SERVICES PROVIDERS
Third-Party Providers to Help You Create Efficiencies Our Affinity Services Program offers you access to a wide selection of third-party service providers,* many of which have agreed to provide their services at a discount to advisors who work with TD Ameritrade Institutional, including eMoney Advisor and Forefield Inc.
eMoney Advisor offers innovative Web solutions that many of the nation’s leading advisors have used to boost their product sales, generate more revenue, and gain new referrals. eMoney’s 360 Series provides advisors with data aggregation, online document storage, client Web and mobile access capabilities, and more.
eMoney Advisor’s technology solutions include:
• eMoney 360: Designed specifically for advisors interested in driving product sales and AUM wins, eMoney 360 provides easily customizable needs-based analysis.
• eMoney 360 Pro: For advisors serving the more complex financial planning needs of high-net-worth clients, eMoney 360 Pro offers Advanced Planning. It features over 200 high-impact reports and unlimited scenario planning.
For more information, please visit www.emoneyadvisor.com† or email [email protected].
Forefield Inc. provides turn-key sales, marketing, education, and client communication systems. Forefield’s products and resources can be personalized with your firm’s logo, contact information, images, and color theme.
Their offerings include:
• Advisor presentations and education: Including articles, concept pieces, case studies, client alerts, and videos
• Newsletters and market summaries: On a weekly, monthly, quarterly, and annual basis
• Websites and Web resources: Hosting of your website and content
• Seminars: Featuring 12 topics such as advanced estate planning and retirement income planning, including presentation slides, client workbooks, and flash video invitations
• Email campaigns: Custom branding, plus tracking and monitoring
• Continuing Education: Over 55 courses that are CFP®, ChFC®, CLF®, CLU®, RHU®, and REBC® approved
To sign up for a free 45-day trial and find more information, please call 800-550-6831 or email [email protected].
[ 16 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
RESOURCES AFFINITY SERVICES PROVIDERS CONTINUED
*TD Ameritrade and eMoney Advisor and Forefield Inc. are separate and unaffiliated companies and are not responsible for each other’s policies or services. Access to Affinity Services Program vendors is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD Ameritrade Institu-tional. These services are offered at a discount directly through the participating vendors. Participating vendors are independent and are not employees or agents of TD Ameritrade. TD Ameritrade does not guarantee nor is it responsible for the quality or accuracy of any vendor’s product or service. In no instance should the listing of a vendor be construed as a recommendation or endorsement by TD Ameritrade. Furthermore, TD Ameritrade does not recommend or endorse any security described by any vendor.
† Please note that by clicking on the hyperlink provided you will enter an unaffiliated third-party website to access its products and services. The third-party site is gov-erned by its posted privacy policy and terms of use, and the third-party is solely responsible for the content and offerings on its website.
[ 17 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
Moody’s Corporate Bond Credit Reports Moody’s Corporate Bond Credit Reports are available on Veo®. Moody’s Investor Services is a widely utilized source for credit ratings, research and risk analysis. Their corporate bond credit reports deliver an overview of a company’s current financial health, as well as vital information to help you better determine the risk level associated with a cer-tain investment.
You can access these reports in two ways:
1. A link to the Moody’s report will be displayed next to each offering on search results pages
2. Search for the report by entering the CUSIP after you search for a specific corporate bond on Veo, under Trading>Fixed Income>Offerings>Corporate Bonds (uncheck “offerings only” if there is no offering for the bond)
If you have any questions, please contact a specialist on the Fixed Income Trading Desk at 800-355-2297.
Fixed-income investments are subject to various risks including changes in interest rates, credit quality, market valuations, liquidity, prepayments, early redemption, corporate events, tax ramifications and other factors.
TD Ameritrade Institutional and Moody’s Investor Services are separate, unaffiliated companies and not responsible for each other’s products, services and polices.
TD Economics Forecasts TD Economics produces reports that focus on monetary policy, with analysis of fiscal and regulatory policy where cir-cumstance dictates. The tools used in producing their quarterly forecasts of the U.S. economy include an econometric model built and maintained by Macroeconomics Advisors LLC, an extensive statistical database of U.S. economic and financial market data and a wide range of public and private information sources.
TD Economics Research Reports are available to you as well as to your clients. You can find the latest reports by going to Veo > Resource Center > Market Information Center, and also at Veo > Research > TD Economics. The latest reports include:
• Milking America’s Cash Cow: The Case for Stronger Investment Growth: Once a key driver of the eco-nomic recovery, business investment has slowed markedly in the last six months. TD Economics believes that corporate balance sheet fundamentals indicate a more robust pace of investment growth ahead. Read more.††
• Regional Multifamily Housing: South Atlantic to Outshine Northeast: As developers respond to increased rental demand, multifamily housing construction is on an upward trajectory across the nation. This report explores the multifamily supply and demand outlook across America’s East Coast. Read more.††
• Meeting America’s Job Challenge Means Growing Small Business: High-growth small businesses con-tinue to bear the markings of the Great Recession and slow recovery. The number of start-up firms has been curtailed, as have hiring intentions. Hiring rates will not return to normal without the express participation of small businesses. As the impediments to growth on high-impact small and medium sized firms lift, the pros-pects for economic growth will rise significantly. Read more.††
RESOURCES RESEARCH REPORTS
[ 18 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
To learn more about TD Economics, please visit http://www.td.com/economics/†† or contact your Service Team at 800-431-3500.
TD Economics is a subsidiary of TD Bank Group. TD Economics and TD Ameritrade Institutional are affiliated through their respective parent companies.
†† Please note that by clicking on the hyperlink provided you will enter an affiliated third-party website to access its products and services. The third-party site is gov-erned by its posted privacy policy and terms of use, and the third party is solely responsible for the content and offerings on its website.
Capital Market Consultants Economic CommentaryCapital Market Consultants (CMC) is the third-party research provider for the bundled offering of the TD Ameritrade Institutional Unified Managed Account Exchange program. Its regular economic commentary includes monthly reports covering major economic indicators and featuring a detailed capital market update.
The latest commentary from CMC covers the following topics:
• Slowing U.S. economic growth
• Europe as a primary concern
• Slower growth rate in China
• Political and policy uncertainty in the United States
• Market volatility
Read the full commentary.
To gain more insight, join quarterly webcasts hosted by CMC exclusively for advisors that custody with TD Ameritrade Institutional. To find out more about upcoming webcast topics and registration details, please view the Veo Web Train-ing Calendar located under Education and Training on the Veo home page.
Capital Market Consultants is not affiliated with TD Ameritrade Institutional. TD Ameritrade Institutional is not responsible for the suitability of the information provided by Capital Market Consultants. TD Ameritrade Institutional does not provide investment advice, investment management, or tax advice. You and your clients may wish to contact independent sources for this information.
RESOURCES RESEARCH REPORTS CONTINUED
[ 19 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
RESOURCES RESEARCH REPORTS CONTINUED
Find More Detail in Fixed-Income Reports on Veo® To help make your fixed-income research more effective and efficient, we have recently enhanced the fixed-income reports available on Veo.
Now, these reports are generated more quickly, and include the following added details:
• Duration
• Convexity
• Underlying rating
• Averages that are calculated by bond type as well as for the complete portfolio
To start your research, log on to Veo and go to Research > Fixed Income. Please note that any reports you saved before these improvements were implemented will not be affected.
If you have any questions, please contact a specialist on the Fixed Income Trading Desk at 800-355-2297.
Fixed-income investments are subject to various risks including changes in interest rates, credit quality, market valuations, liquidity, prepayments, early redemption, corporate events, tax ramifications and other factors.
[ 20 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
EVENTS & EDUCATION WHERE IN THE WORLD IS TD AMERITRADE INSTITUTIONAL?
NAPFA West, Portland, OR, September 10 - 12† Attend NAPFA’s regional event to take some core courses, hear from industry leaders, learn more about communica-tions, and key into best practices for your business. TD Ameritrade Institutional is proud to be the national sponsor of this opportunity to learn and share with your peers. Register now†
Business and Wealth Management Forum, Denver, CO, September 13 - 15† This event offers the chance to explore the latest portfolio design concepts – including downside risk measures, retire-ment income generation, uncorrelated assets, and the elusive search for true alpha –offered by economic strategists, portfolio managers, and leading advisors. Attend to take advantage of the unique opportunity to compare notes and strategize with top-level planning professionals. TD Ameritrade Institutional is a sponsor of this event. Register now†
FPA Experience 2012: National Conference, San Antonio, TX, September 29 - October 2† This high-profile event for the financial planning community brings together five educational tracks, six super ses-sions, and more than 70 speakers. When you attend, you’ll gain insight into topics such as the financial planning needs of the modern family, the pros and cons of aging in place, and the impact of emotion on markets and clients – plus many more. TD Ameritrade Institutional is proud to be the national sponsor of the event. Register now† – the early-bird deadline is August 17.
† Please note that by clicking on the hyperlink provided you will enter an unaffiliated third-party website to access its products and services. The third-party site is gov-erned by its posted privacy policy and terms of use, and the third-party is solely responsible for the content and offerings on its website.
[ 21 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
EVENTS & EDUCATION TD AMERITRADE ADVISOR EDUCATION
Gain an Advanced Trading Experience with Interactive Training for thinkpipes Enrich your trading experience by using thinkpipes, a powerful and innovative trading platform designed specifically for advisors. thinkpipes can meet the needs of many advisors, whether you are an active trader of equities or ETFs, or looking to start or expand your use of options strategies.
To learn more about how to effectively use thinkpipes, you can complete interactive training modules on the following topics:
• Introduction to thinkpipes
• thinkpipes setup
• Placing an order in thinkpipes
• Exploring the options montage dashboard in thinkpipes
• Conducting a risk analysis in thinkpipes
• Allocation methods in thinkpipes
• Order book dashboard in thinkpipes
• Position analysis dashboard in thinkpipes
To access the modules, go to Veo® > Resource Center > Advisor Education. For more information about key features and functionalities, go to Veo > Resource Center > Technology Solutions > thinkpipes.
[ 22 ]BUSINESS & SOLUTIONS UPDATE – JULY 2012
EVENTS & EDUCATION WEB TRAINING SESSIONS
Gain Business Insights with Our Latest Web Training SessionsLearn how you can save time, spend more of your day with clients and potentially grow your business through TD Ameritrade Institutional’s instructor-led online training sessions.
Highlights for the month:
TD Ameritrade’s Portfolio Rebalancing ToolLearn how to rebalance client portfolios at the household or account level using the TD Ameritrade Portfolio Rebalancing Tool. This solution enables you to quickly and easily rebalance to model portfolios, asset class or sector-based targets. Leveraging the Rebalancing Tool’s wide range of features, we’ll demonstrate the ability to analyze current versus target portfolios with advanced diagnostic tools, create detailed rebalancing proposals for clients and efficiently generate rebalancing trade lists for seamless upload into Veo®.
Date Offered: August 15 at 4:30 p.m. ET
Sign Up Now
Veo® Forms Wizard Integrated with Laser App SoftwareWe selected, Laser App Software*, a forms software developer, forms aggregator and CRM integrator as a best-of-breed integration partner. The Forms Wizard integrated with Laser App Software will now enable you to complete and maintain our 90+ writeable forms by utilizing database-driven account information from Veo, your own stand-alone version of Laser App Software, or your own CRM system. Learn how this new enhancement is designed to streamline operations and create efficiencies for advisors.
*TD Ameritrade and Laser App Software, Inc. are separate and unaffiliated companies and are not responsible for each other’s products, policies or services.
Date Offered: August 22 at 4:00 p.m. ET
Conference Call: Dial 800-377-8846Participant Code: 42536630 followed by the # sign
Sign Up Now
Note: The “Join Meeting Now” will not be active until 15 minutes prior to the start of the webex. Click the “Add to My Calendar” link located in the bottom right hand area of the webex registration page. All of the needed meeting details will be provided.
Web training sessions are provided for informational purposes only. While the information is deemed reliable, TD Ameritrade Institutional makes no represen-tations or warranties with respect to the accuracy or completeness of the information provided.
TD Ameritrade Institutional and the third-party companies listed are separate and unaffiliated companies, and are not responsible for each other’s policies or services.
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