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.

The Toronto-Dominion Bank, London Branch is authorised by the Prudential Regulatory Authority in the UK, and subject to regulation by the Financial Conduct Authority in the UK, and limited regulation by the Prudential Regulatory Authority in the UK. TD Bank Europe Limited is authorised by the Prudential Regulatory Authority in the UK, and regulated by the Financial Conduct Authority and the Prudential Regulatory Authority in the UK. TD Execution Services Limited is authorised and regulated by the Financial Conduct Authority in the UK. TD Global Finance Unlimited Company is authorised and regulated 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.

TD Securities (USA) LLC, TD Prime Services LLC, TD Securities Automated Trading LLC, TD Arranged Services 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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