FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024083048001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rajesh Markan (Respondent) Former General Securities Representative CRD No. 4553309 Pursuant to FINRA Rule 9216, Respondent Rajesh Markan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059279201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Securities (USA) LLC (Respondent) Member Firm CRD No. 18476 Pursuant to FINRA Rule 9216, Respondent TD Securities (USA) LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.