Regulatory Requirements

> TD Securities (USA) LLC Business Continuity Plan Disclosure - (FINRA Rule 4370)

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 is a member of SIPC and FINRA (see FINRA BrokerCheck).

TD Securities Inc. is a member of CIPF and IIROC.