Disclosures
Regulatory Disclosures
J.P. Morgan Clearing Corp.
Investment Bank / Private Bank / Private Wealth Management
- Disclosure to Clients for Compliance with NASD Rule 3510(e) and NYSE Rule 446(d)
- SEC Rule 605 * (1)
- 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
- SEC's Emergency Order Regarding Short Sales in Certain Securities
- Client Communication Regarding 9/17/08 and 9/19/08 SEC Orders
- Private Bank and Private Wealth Management Legal Entity disclosures
- IRS Circular 230 disclosure
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.
(1) Please be advised that the JPMS 605 report for December 2008 is being posted according to SEC guidance regarding 605 report postings. While JPMS has made every effort to publish a complete and accurate report, please note that as a result of certain identified order/data processing errors, the report currently includes order/execution information that is not covered under the aforementioned Rule. Consequently, these orders/executions may impact the accuracy/integrity of the report. JPMS is actively working with its Rule 605 vendor, Thompson Transaction Analytics, to correct the identified inaccuracies and will re-post an updated report as soon as practicable.
J.P. Morgan disclaims liability for any direct, indirect, punitive, special, consequential or incidental damages related to the Report or the use of the Report. The information provided in the Report may be impacted by market data system outages or errors, both internal and external, and it is dependent upon the integrity and accuracy of the data provided by outside sources. These disclaimers apply to the Report in its entirety, irrespective of whether the report or reports are used or viewed in whole or in part.