Legal

"TD Securities” is a trademark of The Toronto-Dominion Bank ("TD") and represents certain investment banking, capital markets and wholesale banking activities conducted through certain subsidiaries and branches of TD. “TD Cowen” is a division of TD Securities and represents a marketing name of certain businesses within TD Securities.

TD Securities Inc. is regulated by the Canadian Investment Regulatory Organization of Canada. TD Securities Inc. is a member of the Canadian Investor Protection Fund and a member of Canadian Marketplaces.

TD, TD Bank Europe Limited and Cowen Execution Services Limited are regulated for investment business conducted in the UK by the UK Financial Conduct Authority. TD Global Finance unlimited company is regulated for investment business conducted in Ireland by the Central Bank of Ireland.

TD is registered as a swap dealer with the U.S. Commodity Futures Trading Commission and is a member of the National Futures Association. TD is also registered as a security-based swap dealer with the U.S. Securities and Exchange Commission. Cowen Financial Products LLC is registered as a security-based swap dealer with the U.S. Securities and Exchange Commission.

TD and Toronto Dominion (South East Asia) Limited are regulated by the Monetary Authority of Singapore. Cowen and Company (Asia) Limited is regulated by the Hong Kong Securities and Future Commission.

TD Securities (USA) LLC, TD Prime Services LLC, TD Securities Automated Trading LLC, Cowen and Company, LLC, ATM Execution LLC and Westminster Research Associates LLC are registered with the U.S. Securities and Exchange Commission and are members of the Financial Industry Regulatory Authority (FINRA) and of the Securities Investor Protection Corporation (SIPC).








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