# EDGAR Filing Document

**Accession Number:** 0000947263
**File Stem:** 0000947263-25-000012
**Filing Date:** 2025-12
**Character Count:** 7215
**Document Hash:** 16285237c1894ead14e1358df8cdcaea
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000947263-25-000012.hdr.sgml**: 20260107

**ACCESSION NUMBER**: 0000947263-25-000012

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20251212

**DATE AS OF CHANGE**: 20260107

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TORONTO DOMINION BANK
- **CENTRAL INDEX KEY:** 0000947263
- **STANDARD INDUSTRIAL CLASSIFICATION:** COMMERCIAL BANKS, NEC [6029]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 135640479
- **STATE OF INCORPORATION:** A6
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00161
- **FILM NUMBER:** 26514942

**BUSINESS ADDRESS:**
- **STREET 1:** 66 WELLINGTON STREET WEST
- **STREET 2:** 12TH FLOOR, TD TOWER
- **CITY:** TORONTO, ONTARIO
- **STATE:** A6
- **ZIP:** M5K 1A2
- **BUSINESS PHONE:** 416-944-6367

**MAIL ADDRESS:**
- **STREET 1:** 66 WELLINGTON STREET WEST
- **STREET 2:** 12TH FLOOR, TD TOWER
- **CITY:** TORONTO, ONTARIO
- **STATE:** A6
- **ZIP:** M5K 1A2

### Attached PDF Documents

**Attachment 1:** `TDOfficerCertificatetoSEC2.pdf`

_No text found in this document._

**Attachment 2:** `TDOpinionreBooksandRecords.pdf`

_No text found in this document._

**Attachment 3:** `SBSDFilingChanges.pdf`

_No text found in this document._

**Attachment 4:** `NFA7R.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** TORONTO DOMINION BANK

**NFA Number:** 445815

**IRS Employer ID No.:** 13-5640479

**CIK:** 0000947263

**Main Address:** 66 WELLINGTON STREET WEST, 12TH FLOOR, TD TOWER, TORONTO, ONTARIO, A6, M5K 1A2

**Mailing Address:** 66 WELLINGTON STREET WEST, 12TH FLOOR, TD TOWER, TORONTO, ONTARIO, A6, M5K 1A2

**Business Telephone:** 416-944-6367

**Contact Employee:**

- **Name:** Dede Jawde

- **Title:** Head of Core Compliance

- **Phone:** 212-827-2724

- **Email:** dede.jawde@tdsecurities.com

**Chief Compliance Officer:**

- **Name:** Michael Broadbery

- **Title:** Chief Compliance Officer

- **Phone:** 212-468-0300

- **Email:** michael.broadbery@tdsecurities.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Description of Business:**
The Toronto-Dominion Bank ("TD" or the "Bank") is a federally regulated Canadian bank, subject to the supervision and examination by the Office of the Superintendent of Financial Institutions ("OSFI") in Canada. TD has three primary business lines: Canadian Retail, U.S. Retail, and Wholesale Banking (securities business). TD is a non-U.S. swap dealer provisionally registered with the U.S. Commodity Futures Trading Commission and regularly enters into swap dealing activity with counterparties both within and outside the U.S. The nature of the Bank's swaps business includes swap dealing, hedging, originating, distributing, and trading. Primary business lines that are impacted are Global Equity Derivatives, Global Credit Trading, and Canadian Fixed income as well as supporting infrastructure functions.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 8

### Schedule A: Principals

| Name                  | Title or Status                   | Date Acquired   | Date Began Working   | Ownership         | NFA ID No.   |
|:---|:---|:---|:---|:---|:---|
| Tim Guest Wiggan      | Group Head, Wholesale Banking     | 12/2024         | 03/1998              |  | 544162       |
| Ajai Bambawale        | Chief Risk Officer                | 02/2018         | 05/1993              |  | 454769       |
| Glenn Gibson          | Executive Vice Chair              | 09/2019         | 04/2000              |  | 482320       |
| Christina A Petrou    | Chief Operating Officer           | 12/2024         | 01/2014              |  | 491911       |
| Daniel Charney        | Co-Head of Global Markets, TDS    | 04/2025         | 03/2023              | NA - less than 5% | 490239       |
| Jayant Jobanputra     | Regional Head, Asia Pacific       | 10/2022         | 05/1987              | NA - less than 5% | 454770       |
| Michael Broadbery     | Chief Compliance Officer          | 10/2025         | 10/2025              | NA - less than 5% | 541407       |
| Christian J McMillian | Head of Financial Risk Management | 06/2025         | 05/1995              | NA - less than 5% |  |

### Schedule B: Explanations

**Description:**
The Toronto-Dominion Bank engages in retail banking business in Canada and the United States and wholesale banking business including foreign exchange, short term loan participations, loan syndications and committed credit.

**Records Keeper:**

- **Name:** Iron Mountain Information Management, LLC

  - **Address:** One Federal Street, Boston, MA, 02110

  - **Effective Date:** 11-30-2018

  - **Arrangement:** Global MSA with all regions global signing a 1 pager Adoption agreement - Document Storage Services.

- **Name:** Financial Tracking LLC

  - **Address:** 1111 East Putnam Ave, Riverside, CT, 06838

  - **Effective Date:** 04-25-2013

  - **Arrangement:** MSA and Adoption Agreement - FTT is being used to automate the trade request and approval process and to allow for a more robust monitoring program and to complete annual and quarterly attestations.

- **Name:** Hewlett Packard Enterprise Canada Co.

  - **Address:** 5150 Spectrum Way, Suite 400, Mississauga, Ontario, Z4, L4W 5G2

  - **Effective Date:** 10-25-2018

  - **Arrangement:** MSA Aruba Service - Telecommunications networking services

- **Name:** Microsoft Corporation

  - **Address:** One Microsoft Way, Redmond, WA, 98052

  - **Effective Date:** 09-19-2018

  - **Arrangement:** Microsoft Azure - Cloud and Server Enrollment Microsoft Dynamic 365 software suite of products Microsoft O365 Office - software suite of products Microsoft SQL Server License Subscription

**Onbehalf:**

- **Name:** Bank of NY Mellon

  - **Address:** 95 Christopher Columbus Drive, Jersey City, NJ, 07302

  - **Effective Date:** 03-14-2018

  - **Arrangement:** Initial Margin Segregation Service Agreement.

- **Name:** J.P. Morgan Securities LTD

  - **Address:** 125 London Wall, London, X0, EC2Y5AJ

  - **Effective Date:** 01-31-2008

  - **Arrangement:** Futures Clearing Agreement

- **Name:** National Futures Association

  - **Address:** 1 New York Plaza, Suite 4300, New York, NY, 10004

  - **Effective Date:** 12-19-2012

  - **Arrangement:** Registered as a swap dealer

### Execution

**Date:** 12-12-2025

**Name of Applicant:** TORONTO DOMINION BANK

**Signature:** Dede Jawde

**Printed Name:** Dede Jawde

**Title:** Head of Core Compliance