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- J.P. Morgan Securities LLC (“JPMS” or the “Firm”) is a subsidiary of JPMorgan Chase & Co. JPMS is a broker/dealer registered with the Securities and Exchange Commission (“SEC”) and is a member of the New York Stock Exchange, Financial Industry Regulatory Authority (“FINRA”), and the Securities Investor Protection Corporation (“SIPC”).
www.jpmorgan.com/disclosures/jpms_regulatory
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Please note that JPMS is primarily regulated by the SEC, FINRA, and the U.S. Commodity Futures Trading Commission (“CFTC”) under the laws of the United States of America, which differ from Australian laws.
J.P. Morgan Securities LLC is also a member of the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Securities Investor Protection Corp. (SIPC).
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The website for the SEC is www.sec.gov and the website for the MSRB is www.msrb.org. There is a brochure available on the MSRB website that describes the protections provided by MSRB rules and how to file a complaint with the appropriate regulatory authority.
Mar 23, 2021 · JPMS LLC is a registered U.S. broker dealer affiliate of JPMorgan Chase & Co., and is a member of FINRA, NYSE and SIPC. JPMS plc is authorized by the PRA and regulated by the FCA and the PRA in the U.K. JPMS plc is exempt from the licensing provisions of the Financial and Intermediary Services Act, 2002 (South Africa).
JPMS is a registered brokerdealer and investment adviser- with the Securities and Exchange Commission (“SEC”). JPMS is also a member of the Financial Industry Regulatory Authority (“FINRA”), the Municipal Securities , Inc.
services the Private Bank offers through JPMS. JPMS is a registered broker-dealer and investment adviser with the Securities and Exchange Commission (“SEC”). JPMS is also a member of the Financial Industry Regulatory Authority (“FINRA”), the Municipal Protection Corp. (“SIPC”). B. Who We Serve
the Financial Industry Regulatory Authority (“FINRA”), the NFA, the Securities Investor Protection Corporation (“SIPC”) and various exchanges. The Company’s Board of Managers is responsible for the oversight of management of the Company.
