2021070547501 TD Ameritrade Clearing, Inc. CRD 5633 AWC lp (2023-1688862006795).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070547501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TD Ameritrade Clearing, Inc. (Respondent)
Member Firm
CRD No. 5633
Pursuant to FINRA Rule 9216, Respondent TD Ameritrade Clearing, Inc. (TDAC) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.