FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071986401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TD Ameritrade, Inc. (Respondent)
Member Firm
CRD No. 7870
Pursuant to FINRA Rule 9216, Respondent TD Ameritrade, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.