TD Securities (USA) LLC

12/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080120915-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC Broker-Dealer CRD No. 18476 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2008012091501data-portal.finra.orgfinra.org

01/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043313001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC, Respondent CRD No. 18476 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent TD Securities (USA) LLC ("TDS" or the "Film") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2015043313001data-portal.finra.orgfinra.org

09/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059279201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Securities (USA) LLC (Respondent) Member Firm CRD No. 18476 Pursuant to FINRA Rule 9216, Respondent TD Securities (USA) LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018059279201data-portal.finra.orgfinra.org

07/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050087 TO: Market Regulation Department NASD RE: TD Securities (USA) L.L.C. - Respondent Broker Dealer CRD Number 18476 Pursuant to Rule 9216 of NASD Code of Procedure, TD Securities (USA) L.L.C. ("TDSI" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference CLG050087data-portal.finra.orgfinra.org

04/10/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120337424-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC, Respondent Broker/Dealer CRD No. 18476 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, TD Securities (USA) LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2012033742401data-portal.finra.orgfinra.org

06/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160518856-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC, Respondent , Broker-Dealer CRD No. 18476 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Securities (USA) LLC (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2016051885601finra.orgdata-portal.finra.org

04/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070112228-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC Broker-Dealer CRD No. 18476 Pursuant to FINRA Rule 92I6 of FINRA's Code of Procedure, TD Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2007011222801data-portal.finra.orgfinra.org

09/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080127627-01 To: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC, Respondent Broker-Dealer CRD No. 18476 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Securities (USA) LLC ("TDSI" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2008012762701data-portal.finra.orgfinra.org

08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100249577-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Securities (USA) LLC, Respondent Broker-Dealer CRD No. 18476 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010024957701data-portal.finra.orgfinra.org