Disclosures
Regulatory Reports
Investment Bank / Private Bank
- Disclosure to Clients for Compliance with NASD Rule 3510(e) and NYSE Rule 446(d)
- SEC Rule 605 *
- SEC Rule 606 *
- Investment Principles for U.S. private clients
- Investment Principles for International private clients
- Usage Terms - Data and Content
Private Client Services
- Disclosure to Clients for Compliance with NASD Rule 3510(e) and NYSE Rule 446(d)
- SEC Rule 606
- Investment Principles
Commercial Bank
Asia Pacific Disclosures
EU Disclosures
- Notice regarding EU e-commerce information and UK Companies Act 2006 requirements
- Germany: Legally required information for business correspondence/Gesetzliche Pflichtangaben für Geschäftskorrespondenz
Markets in Financial Instruments Directive (MiFID)
* Disclosure of SEC Required Order Execution Information
JPMorgan Securities Inc. 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.