schema version:

SBSE-A/A: Filer Information

SBSE-A/A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

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:
dede.jawde@tdsecurities.com
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:
jeffrey.sundram@tdsecurities.com

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: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button checked Yes Radio button not checked No
  • avail itself of a previously granted substituted compliance determination
Radio button not checked Yes Radio button checked 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? Radio button checked Yes Radio button not checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked 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. Radio button not checked Yes Radio button checked No

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked 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? Radio button checked Yes Radio button not checked 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? Radio button checked Yes Radio button not checked 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)? Radio button checked Yes Radio button not checked 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? Radio button not checked Yes Radio button checked 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.Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button checked Yes Radio button not checked 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? Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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 Radio button not checked Yes Radio button checked 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: Radio button checked Initial   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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.