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Regulatory Requirements
> TD Securities (USA) LLC Business Continuity Plan Disclosure - (NASD Rule 3510)
TD Securities (USA) LLC is required to disclose to its customers how it plans to address the possibility of a significant business disruption and how TD Securities (USA) LLC plans to respond.
> TD Securities (USA) LLC Statement on Routing of Customer Orders - (SEC Rule 606)
TD Securities (USA) LLC is required to make publicly available, on a quarterly basis, a report of its routing of U.S. equity and option orders.
January 06, 2009