Edward D. Jones & Co. L.P.

12/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025367601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward Jones, Respondent (BD No. 250) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Edward Jones ("Edward Jones" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010025367601finra.orgdata-portal.finra.org

06/16/2026: From January 2018 through April 2021, Edward Jones failed to report approximately 2.7 million fractional share liquidations to the FINRA/Nasdaq Trade Reporting Facility (TRF) or the Over-the-Counter Reporting Facility (ORF), in violation of FINRA Rules 6380A, 6622, and 2010. During the same period, the firm failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to comply with its trade reporting obligations for fractional share trades, in violation of FINRA Rules 3110(a) and (b) and 2010. For these violations, the firm is censured, fined $125,000, and required to pay the regulatory transaction fees owed for the unreported fractional share trades pursuant to Section 3 of Schedule A to FINRA’s By-Laws.

Reference 2020067346401data-portal.finra.orgfinra.org

10/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045354201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. ("Edward Jones" or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015045354201finra.orgdata-portal.finra.org

02/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048760501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward Jones, Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward Jones submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,

Reference 2016048760501data-portal.finra.orgfinra.org

01/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037060701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2013037060701data-portal.finra.orgfinra.org

06/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2 0150465799-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent Broker-Dealer, CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2015046579901data-portal.finra.orgfinra.org

06/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2040410688-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Edward D. Jones & Co., L.P., Respondent Broker-Dealer CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2014041068801data-portal.finra.orgfinra.org

06/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010537701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent FINRA Member Firm CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. (hereinafter the "firm" or "Edward Jones") submits this Letter of Acceptance, Waiver and Consent (''AWC'') for the purpose of proposing a settlement of the alleged rule

Reference 2007010537701data-portal.finra.orgfinra.org

12/20/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069467101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Edward Jones Member Firm CRD No. 250 Pursuant to FINRA Rule 9216, Respondent Edward Jones submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021069467101data-portal.finra.orgfinra.org

10/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031611301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent FINRA Member Firm BD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. ("Edward Jones" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement

Reference 2012031611301finra.orgdata-portal.finra.org

07/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110276863- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Edward Jones, Respondent Broker-Dealer CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Edward Jones (the "Respondent" or ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2011027686301finra.orgdata-portal.finra.org

12/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401100001 TO: Department of Enforcement NASD RE: Edward D. Jones & Co., L.P., Respondent Member Firm (CRD No. 250) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Edward D. Jones & Co., L.P. ("Respondent" or ''Edward Jones") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

Reference EAF0401100001data-portal.finra.orgfinra.org

01/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045548001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent Broker-Dealer CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. ("Edward Jones" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015045548001data-portal.finra.orgfinra.org

04/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060065096 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent Member Firm BD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2006006509601data-portal.finra.orgfinra.org

01/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022283702 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Edward D. Jones & Co., L.P., Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward Jones, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Reference 2010022283702data-portal.finra.orgfinra.org

07/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049783001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward Jones, Respondent Broker-Dealer CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Edward Jones (the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2016049783001data-portal.finra.orgfinra.org

06/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056422401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P. ("Edward Jones") Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward Jones submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2018056422401data-portal.finra.orgfinra.org

04/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060054389-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent Broker-Dealer CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2006005438901data-portal.finra.orgfinra.org

01/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032011102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. (the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012032011102finra.orgdata-portal.finra.org