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.