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TD Securities (USA) Inc.

TD Securities (USA) Inc. (CRD #18476, New York, New York) received a censure and fine of $10,000. According to the findings, the firm failed to report to the Fixed Income Pricing SystemSM (FIPS SM) transactions in FIPS securities within five minutes after execution. The regulators also found that the firm incorrectly reported to FIPS transactions in FIPS securities and in high-yield securities that the firm should not have reported to FIPS under the FIPS rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030145)

Did TD Securities (USA) Inc. manage your investments?



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