Disclosures
Regulatory Disclosures
- Counterparty Risk Management Group II Report
- Notice to commercial customers - Regulation GG **
- Government Sponsored Enterprises disclosure
- Email and Instant Messaging disclosure
J.P. Morgan Clearing Corp.
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 **
Commercial Bank
Corporate Treasury
Asia Pacific Disclosures
- Japan: Notification for general investors defined under the Financial Instrument and Exchange Law (FIEL) **
- 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
- 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 **
Markets in Financial Instruments Directive (MiFID)
Other Markets Disclosures
* 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
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