Disclosures

Regulatory Disclosures

• Notice to commercial customers - Regulation GG **
• Government Sponsored Enterprises disclosure
• Email and Instant Messaging disclosure
• JPMCC and the Institutional Brokerage business of JPMS ERISA Section 408(b)(2) Disclosure **
• Telephone Recording Notice

J.P. Morgan Clearing Corp.

• Protection of Client Assets
• Email disclosure **
• J.P. Morgan Clearing Corp. Privacy Notice

Investment Bank / Private Bank / Private Wealth Management

• Rule 5320 - Prohibition Against Trading Ahead of Customer Orders **
• Disclosure to Clients for Compliance with FINRA Rule 4370 **
• JPMS and JPMCC Large Trader LTID Disclosure Form **
• SEC Rule 605 *
• SEC Rule 606 *
• Private Wealth Management SEC Rule 606 **
• Investment Principles for U.S. private clients **
• Investment Principles for International private clients **
• Usage Terms – Data and Content
• Private Bank and Private Wealth Management Legal Entity Disclosures
• IRS Circular 230 disclosure
• EMEA Investment Bank Risk Warnings **
• U.S. IB Privacy Notification for JPMS and JPMCB ** **
• J.P. Morgan Securities Inc. Name Change to J.P. Morgan Securities LLC **
• Global Wealth Management: Dodd-Frank Disclosures

Commercial Bank

• Disclosure to Clients for Compliance with FINRA Rule 4370 **

Corporate Treasury

• Time Deposit Terms - JPMorgan Chase Bank, N.A., London branch **
• Time Deposit Terms - JPMorgan Securities plc **

Asia Pacific Disclosures

• Japan: Notification for general investors defined under the Financial Instrument and Exchange Law (FIEL) ** 
• Japan: J.P. Morgan Securities LLC (Gentan)
• Short selling changes in Australia **
• Asian Transaction Disclosure

Latin America Disclosures

• Brazil: J.P. Morgan CCVM Brokerage Rules and Parameters **
• Brazil: J.P. Morgan CCVM Code of Conduct
• Brazil: J.P. Morgan CCVM website

EU Disclosures

• J.P. Morgan U.K. head office relocation, new address for contractual communications and J.P. Morgan Securities Ltd. re-registration
• Notice regarding EU e-commerce information and UK Companies Act 2006 requirements **
• Germany: Legally required information for business correspondence/Gesetzliche Pflichtangaben für Geschäftskorrespondenz
• Nordic Region Global Custody Disclosures **
• Austria: Required Disclosures in terms of EU E-Commerce Directive and other local legislations **
• Belgium **
• France **
• Guernsey **
• Ireland: Required Disclosures including EU Data Privacy Requirements **
• Italy **
• Jersey **
• Luxembourg: Required Disclosures in terms of EU E-Commerce Directive and other local legislations **
• Netherlands **
• Poland **
• Spain **
• Sweden **

South Africa Disclosures

• Notification of J.P. Morgan Equities Limited name change and conversionto private company**

Markets in Financial Instruments Directive (MiFID)

• Investment Bank - EMEA

Other Markets Disclosures

• Markets Disclosure
• Asian Transaction Disclosure

• * Disclosure of SEC Required Order Execution Information
  J.P. Morgan Securities LLC has contracted with a vendor, MarketSystems, Inc., to prepare statistical reports in accordance with Securities and Exchange Commission (SEC) Rules 605 and 606. Public review of the monthly statistical reports in compliance with SEC Rule 605 and SEC Rule 606 is available on the following link, www.tta.thomson.com . Additional information regarding these SEC rules may be obtained from www.sec.gov or www.finra.org .

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