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    TD   CA8911605092

THE TORONTO-DOMINION BANK

(TD)
  Report
Delayed Toronto Stock Exchange  -  04:00 2022-11-25 pm EST
91.02 CAD   +0.07%
11/27Canadian banks count on loan growth as stormy markets dent profits
RE
11/25Four Successive Winnings Sessions Bring 400 Pts In Gains To the TSX; Banks May Determine Where Index Goes From Here
MT
11/25TD Bank Pauses Canada Post Loan Program Weeks After National Expansion
MT
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SEC Files Actions Against Muni-Bond Underwriters

09/13/2022 | 08:00am EST

By Dean Seal


The U.S. Securities and Exchange Commission filed a lawsuit against Oppenheimer & Co. Inc. and settled similar cases with three other firms for allegedly failing to comply with disclosure requirements for municipal-bond offerings.

The first-of-their-kind actions separately accuse Oppenheimer, BNY Mellon Capital Markets LLC, TD Securities (USA) LLC and Jefferies LLC of failing to meet the legal requirements that would expect them from obtaining disclosures for investors in certain municipal-bond offerings.

The SEC said that at different times since 2017, the firms purported to rely on the so-called limited offering exemption to avoid making certain disclosures, but did not take the steps necessary to obtain that exemption.

Without admitting or denying the SEC's allegations, BNY Mellon has agreed to pay a $300,000 fine and more than $650,000 in disgorgement and interest, while TD Securities and Jefferies would each pay a $100,000 fine and smaller disgorgement and interest sums.

The SEC's suit against Oppenheimer will play out in a Manhattan federal court.

Oppenheimer didn't immediately respond to a request for comment Tuesday.


Write to Dean Seal at dean.seal@wsj.com


(END) Dow Jones Newswires

09-13-22 1000ET

Stocks mentioned in the article
ChangeLast1st jan.
BANK OF NEW YORK MELLON CORPORATION (THE) 0.40% 45.67 Delayed Quote.-21.37%
JEFFERIES FINANCIAL GROUP INC. 1.17% 38.11 Delayed Quote.-1.78%
OPPENHEIMER HOLDINGS INC. 0.69% 41.03 Delayed Quote.-11.52%
THE TORONTO-DOMINION BANK 0.07% 91.02 Delayed Quote.-6.15%
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Analyst Recommendations on THE TORONTO-DOMINION BANK
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Financials
Sales 2022 43 116 M 32 236 M 32 236 M
Net income 2022 14 341 M 10 722 M 10 722 M
Net Debt 2022 - - -
P/E ratio 2022 11,3x
Yield 2022 3,93%
Capitalization 165 B 123 B 123 B
Capi. / Sales 2022 3,83x
Capi. / Sales 2023 3,36x
Nbr of Employees 93 720
Free-Float 99,8%
Chart THE TORONTO-DOMINION BANK
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Technical analysis trends THE TORONTO-DOMINION BANK
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Income Statement Evolution
Consensus
Sell
Buy
Mean consensus OUTPERFORM
Number of Analysts 16
Last Close Price 91,02 CAD
Average target price 98,76 CAD
Spread / Average Target 8,50%
EPS Revisions
Managers and Directors
Bharat B. Masrani Group President, CEO & Non-Independent Director
Kelvin Vi Luan Tran Chief Financial Officer & Senior Executive VP
Brian Michael Levitt Non-Executive Chairman
Greg Keeley Senior Executive VP-Technology & Platforms
Nadir H. Mohamed Independent Director
Sector and Competitors