TD Securities Fined $350,000 by RS

Firm failed to transmit CNQ orders from TD WaterhouseInvestment Executive, 5 July 2006A Market Regulation Services Inc. (RS) hearing panel today approved a settlement agreement with TD Securities Inc., relating to best execution of client orders, exposure of client orders, audit trail violations, retention of records and supervision issues. TD Securities was fined $350,000 plus $80,000 in