SBSE-A/A: Filer Information
| Filer CIK | 0000947263 |
| Filer CCC |
**********
|
| Is this a LIVE or TEST Filing? |  LIVE
TEST
|
| Would you like a Return Copy? |  |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |  |
| Notification E-mail Address |
SBSE-A/A: Applicant Data - Page 1
FORM SBSE-A
Application for Registration as a Security-based Date: Applicant NFA Number: 445815 |
|
INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:
| A. Full name of the applicant | TORONTO DOMINION BANK |
| B. IRS Empl. Ident. No.: | 13-5640479 |
| C. Applicant's NFA ID #: | 445815 |
Applicant's CIK #: | 0000947263 |
Applicant’s UIC # (if any): | |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | 66 WELLINGTON STREET WEST |
Street Address 2: | 12TH FLOOR, TD TOWER |
City: | TORONTO, ONTARIO |
State/Province/Country: |
ONTARIO, CANADA
|
Zip/ Postal Code: | M5K 1A2 |
| E. Mailing Address, if different: | |
Street Address 1: | 66 WELLINGTON STREET WEST |
Street Address 2: | 12TH FLOOR, TD TOWER |
City: | TORONTO, ONTARIO |
State/Province/Country: |
ONTARIO, CANADA
|
Zip/ Postal Code: | M5K 1A2 |
| F. Business Telephone Number: | 416-944-6367 |
| G. Website/URL: | |
| H. Contact Employee: | |
Prefix: | |
First Name: | Dede |
Middle Name: | |
Last Name: | Jawde |
Suffix: | |
Title: | Head of Core Compliance |
Phone: | 212-827-2724 |
Email Address: | |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | |
First Name: | Jeffrey |
Middle Name: | |
Last Name: | Sundram |
Suffix: | |
Title: | Chief Compliance Officer |
Phone: | 212-827-6971 |
Email Address: |
SBSE-A/A: EXECUTION
EXECUTION:
The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.
| Date | 09-12-2025 |
| Name of Applicant | TORONTO DOMINION BANK |
| By: Signature | Dede Jawde |
| Name of Person Signing on Applicant's behalf | Dede Jawde |
| Title of Person Signing on Applicant's behalf | Head of Core Compliance |
SBSE-A/A: Applicant Data - Page 2
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
TORONTO DOMINION BANK
Date:
Applicant NFA No.:
445815
2.
| A. The applicant is registering as a security-based swap dealer: |  Yes
No
|
| B. The applicant is registering as a major security-based swap participant: | Yes
No
|
3.
| A. Is the applicant a foreign security-based swap dealer that intends to: | |
| Yes
No
|
| Yes
No
|
| with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder? | |
| B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination: | Office of the Superintendent of Financial Institutions (OSFI) |
4.
| Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? | Yes
No
|
5.
| A. The applicant is currently registered with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| B. The applicant is registering with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
6.
| Is the applicant a U.S. branch of a non-resident entity? | Yes
No
|
7.
| Briefly describe the applicant's business: | The Toronto-Dominion Bank ("TD" or the "Bank") is a federally regulated Canadian bank, subject to the supervision and examination by the Office of the Superintendent of Financial Institutions ("OSFI") in Canada. TD has three primary business lines: Canadian Retail, U.S. Retail, and Wholesale Banking (securities business). TD is a non-U.S. swap dealer provisionally registered with the U.S. Commodity Futures Trading Commission and regularly enters into swap dealing activity with counterparties both within and outside the U.S. The nature of the Bank's swaps business includes swap dealing, hedging, originating, distributing, and trading. Primary business lines that are impacted are Global Equity Derivatives, Global Credit Trading, and Canadian Fixed income as well as supporting infrastructure functions. |
8.
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
9.
| Is the applicant registered with the Commission as an investment adviser? | Yes
No
|
10.
| A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? | Yes
No
|
11.
| Does applicant engage in any other non-securities, financial services industry-related business? | Yes
No
|
If "yes," describe each other business briefly on Schedule B, Section I.
12.
| Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? | Yes
No
|
SBSE-A/A: Applicant Data - Page 3
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
TORONTO DOMINION BANK
Date:
Applicant NFA No.:
445815
13.
| Does the applicant have any arrangement: | |
| A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? | Yes
No
|
| B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? | Yes
No
|
If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.
14.
| Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
15.
| Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
16.
| Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? | Yes
No
|
If "yes," complete appropriate items on Schedule B, Section Ill.
17.
| Is the applicant registered with a foreign financial regulatory authority? | Yes
No
|
If "yes," list all such registrations on Schedule F, Page 1, Section II.
18.
| The applicant has ___ principals who are individuals. | 8 |
Please list all principals who are individuals on Schedule A.
19.
| Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section IV.
SBSE-A/A: Schedule A of FORM SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
TORONTO DOMINION BANK
Date:
Applicant NFA No.:
445815
PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)
Use Schedule A to identify all principals of the applicant who are individuals.
Complete the "Title or Status" column by entering board/management titles;
status as partner, trustee, sole proprietor, or shareholder; and for shareholders,
the class of securities owned (if more than one is issued).
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Wiggan |
| Individuals: First Name | Tim |
| Individuals: Middle Name | Guest |
| Suffix | |
| Title or Status | Group Head, Wholesale Banking |
| Date Title or Status Acquired(MM/YYYY) | 12/2024 |
| Date Individual began working for applicant (MM/YYYY) | 03/1998 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 544162 |
| CRD No. | 002675443 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Bambawale |
| Individuals: First Name | Ajai |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Risk Officer |
| Date Title or Status Acquired(MM/YYYY) | 02/2018 |
| Date Individual began working for applicant (MM/YYYY) | 05/1993 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 454769 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Gibson |
| Individuals: First Name | Glenn |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Executive Vice Chair |
| Date Title or Status Acquired(MM/YYYY) | 09/2019 |
| Date Individual began working for applicant (MM/YYYY) | 04/2000 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 482320 |
| CRD No. | 005659024 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Petrou |
| Individuals: First Name | Christina |
| Individuals: Middle Name | A |
| Suffix | |
| Title or Status | Chief Operating Officer |
| Date Title or Status Acquired(MM/YYYY) | 12/2024 |
| Date Individual began working for applicant (MM/YYYY) | 01/2014 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 491911 |
| CRD No. | 004007468 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Charney |
| Individuals: First Name | Daniel |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Co-Head of Global Markets, TDS |
| Date Title or Status Acquired(MM/YYYY) | 04/2025 |
| Date Individual began working for applicant (MM/YYYY) | 03/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 490239 |
| CRD No. | 002158255 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Jobanputra |
| Individuals: First Name | Jayant |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Regional Head, Asia Pacific |
| Date Title or Status Acquired(MM/YYYY) | 10/2022 |
| Date Individual began working for applicant (MM/YYYY) | 05/1987 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 454770 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Sundram |
| Individuals: First Name | Jeffrey |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Compliance Officer |
| Date Title or Status Acquired(MM/YYYY) | 12/2023 |
| Date Individual began working for applicant (MM/YYYY) | 07/2014 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 525348 |
| CRD No. | 006191294 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | McMillian |
| Individuals: First Name | Christian |
| Individuals: Middle Name | J |
| Suffix | |
| Title or Status | Head of Financial Risk Management |
| Date Title or Status Acquired(MM/YYYY) | 06/2025 |
| Date Individual began working for applicant (MM/YYYY) | 05/1995 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): | Christian J McMillan has been employed with TD since May 1995 and is the Head of Financial Risk Management. Prior to his current role, Christiian held several roles within the Risk division. |
SBSE-A/A: Schedule B of FORM SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
TORONTO DOMINION BANK
Date:
Applicant NFA No.:
445815
Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.
| This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: | Initial
Amended
|
Section I
Other Business
Item 11: Does applicant engage in any other non-securities, financial services industry-related business?
| UIC (if any), or other Unique Identification Number(s): | |
| Assigning Regulator(s)/Entity(s): | |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | The Toronto-Dominion Bank engages in retail banking business in Canada and the United States and wholesale banking business including foreign exchange, short term loan participations, loan syndications and committed credit. |
Section II
Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Iron Mountain Information Management, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | One Federal Street |
Street Address 2 | |
City | Boston |
State/Country |
MASSACHUSETTS
|
Zip + 4 Postal Code | 02110 |
| Effective Date MM DD YYYY | 11-30-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Global MSA with all regions global signing a 1 pager Adoption agreement - Document Storage Services. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Financial Tracking LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1111 East Putnam Ave |
Street Address 2 | |
City | Riverside |
State/Country |
CONNECTICUT
|
Zip + 4 Postal Code | 06838 |
| Effective Date MM DD YYYY | 04-25-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | MSA and Adoption Agreement - FTT is being used to automate the trade request and approval process and to allow for a more robust monitoring program and to complete annual and quarterly attestations. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Hewlett Packard Enterprise Canada Co. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 5150 Spectrum Way |
Street Address 2 | Suite 400 |
City | Mississauga, Ontario |
State/Country |
CANADA (FEDERAL LEVEL)
|
Zip + 4 Postal Code | L4W 5G2 |
| Effective Date MM DD YYYY | 10-25-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | MSA Aruba Service - Telecommunications networking services |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Microsoft Corporation |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | One Microsoft Way |
Street Address 2 | |
City | Redmond |
State/Country |
WASHINGTON
|
Zip + 4 Postal Code | 98052 |
| Effective Date MM DD YYYY | 09-19-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Microsoft Azure - Cloud and Server Enrollment Microsoft Dynamic 365 software suite of products Microsoft O365 Office - software suite of products Microsoft SQL Server License Subscription |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bank of NY Mellon |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 95 Christopher Columbus Drive |
Street Address 2 | |
City | Jersey City |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 07302 |
| Effective Date MM DD YYYY | 03-14-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Initial Margin Segregation Service Agreement. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | J.P. Morgan Securities LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 125 London Wall |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2Y5AJ |
| Effective Date MM DD YYYY | 01-31-2008 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Futures Clearing Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | National Futures Association |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0445815 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 New York Plaza |
Street Address 2 | Suite 4300 |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10004 |
| Effective Date MM DD YYYY | 12-19-2012 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Registered as a swap dealer |
SBSE-A/A: SCHEDULE F of Form SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
TORONTO DOMINION BANK
Date:
Applicant NFA No.:
445815
Section I
Service of Process and Certification Regarding Access to Records
Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify
its United States agent for service of process and the certify that it can as a matter of law, and will -
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
1. Service of Process:
A. Name of United States person applicant designates and appoints as agent for service of process
| Name | Corporation Service Company d/b/a CSC-Lawyers Incorporating Service Company |
B. Address of United States person applicant designates and appoints as agent for service of process
| Street Address 1 | 211 E 7th St. |
| Street Address 2 | Suite 620 |
| City | Austin |
| State |
TEXAS
|
| Zip/Postal Code | 78701 |
The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the
applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as
defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of
any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and
agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that
service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that
service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal
service thereof had been made.
2. Certification regarding access to records:
Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with
paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR
240. 15Fb2-4].
| Signature: | Jeffrey Sundram |
| Name: | Jeffrey Sundram |
| Title: | Vice President, Head of U.S. Wholesale Compliance |
| Date: | 10-29-2021 |
Section II
Registration with Foreign Financial Regulatory Authorities
Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:
| English Name of Foreign Financial Regulatory Authority | Office of the Superintendent of Financial Institutions |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CANADA (FEDERAL LEVEL)
|
If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.