TD AMERITRADE CLEARING INC

10/24/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100214842-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. ("FOMA" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010021484201data-portal.finra.orgfinra.org

07/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030752701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc. CRD No.5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. ("TDAC" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011030752701data-portal.finra.orgfinra.org

11/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060068273-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. (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.

Reference 2006006827301data-portal.finra.orgfinra.org

04/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LEITER OF ACCEPTANCE WAIVER AND CONSENT NO. 2011025883201 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. (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.

Reference 2011025883201finra.orgdata-portal.finra.org

06/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141695-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. (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.

Reference 2008014169501data-portal.finra.orgfinra.org

09/24/2025: From about January 2007 to May 2024, TD Ameritrade Clearing and TD Ameritrade failed to report or timely report millions of transactions to the FINRA/Nasdaq Trade Reporting Facility (FNTRF), the Over-the-Counter Reporting Facility (ORF) and predecessor reporting facilities. Thus, TD Ameritrade Clearing and TD Ameritrade violated FINRA Rules 6380A, 6622, and 2010 and predecessor NASD Rules. Additionally, from July 2020 to November 2022, TD Ameritrade failed to report positions to the LOPR in violation of FINRA Rules 2360(b)(5) and 2010. Finally, from approximately January 2007 through 2024, TD Ameritrade Clearing and TD Ameritrade failed to establish and maintain a supervisory system reasonably designed to achieve compliance with FINRA’s trade reporting rules, in violation of FINRA Rules 3110 and 2010, and predecessor NASD Rules. For these violations, respondents are censured, fined $550,000, and subject to an undertaking to pay regulatory transaction fees as described below.

Reference 2021070230801data-portal.finra.orgfinra.org

10/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050020401-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, TD Ameritrade Clearing, Inc. (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 2005002040101data-portal.finra.orgfinra.org

02/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035823801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No, 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013035823801data-portal.finra.orgfinra.org

12/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100242913-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. (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.

Reference 2010024291301data-portal.finra.orgfinra.org

06/08/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070547501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Ameritrade Clearing, Inc. (Respondent) Member Firm CRD No. 5633 Pursuant to FINRA Rule 9216, Respondent TD Ameritrade Clearing, Inc. (TDAC) 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 2021070547501data-portal.finra.orgfinra.org

01/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO . 20060048452-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, TD Ameritrade Clearing, Inc. (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.

Reference 2006004845201data-portal.finra.orgfinra.org

06/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442270-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TD Ameritrade Clearing, Inc., Respondent Broker-Dealer CRD No. 5633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TD Ameritrade Clearing, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2015044227001data-portal.finra.orgfinra.org