8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (date of earliest event reported): November 24, 2020

JPMorgan Chase & Co.

(Exact name of registrant as specified in its charter)

Delaware	1-5805	13-2624428
(State or other jurisdiction of incorporation or organization)	(Commission File Number)	(I.R.S. employer identification no.)
383 Madison Avenue, New York, New York		10179
(Address of principal executive offices)		(Zip Code)

Registrant’s telephone number, including area code: (212) 270-6000

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common stock	JPM	The New York Stock Exchange
Depositary Shares, each representing a one-four hundredth interest in a share of 6.10% Non-Cumulative Preferred Stock, Series AA	JPM PR G	The New York Stock Exchange
Depositary Shares, each representing a one-four hundredth interest in a share of 6.15% Non-Cumulative Preferred Stock, Series BB	JPM PR H	The New York Stock Exchange
Depositary Shares, each representing a one-four hundredth interest in a share of 5.75% Non-Cumulative Preferred Stock, Series DD	JPM PR D	The New York Stock Exchange
Depositary Shares, each representing a one-four hundredth interest in a share of 6.00% Non-Cumulative Preferred Stock, Series EE	JPM PR C	The New York Stock Exchange
Depositary Shares, each representing a one-four hundredth interest in a share of 4.75% Non-Cumulative Preferred Stock, Series GG	JPM PR J	The New York Stock Exchange
Alerian MLP Index ETNs due May 24, 2024	AMJ	NYSE Arca, Inc.
Guarantee of Callable Step-Up Fixed Rate Notes due April 26, 2028 of JPMorgan Chase Financial Company LLC	JPM/28	The New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

Item 8.01 Other Events.

JPMorgan Chase Bank, N.A. (the “Bank”) has entered into a resolution with the Office of the Comptroller of the Currency (“OCC”) regarding past deficiencies in internal controls and internal audit for certain fiduciary activities. The OCC found that the Bank has remediated the deficiencies that led to this resolution. In connection with the resolution, the Bank will pay a $250 million Civil Money Penalty. The complete agreement can be accessed at the OCC website at www.occ.gov.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits

101	Pursuant to Rule 406 of Regulation S-T, the cover page is formatted in Inline XBRL (Inline eXtensible Business Reporting Language).
104	Cover Page Interactive Data File (embedded within the Inline XBRL document and included in Exhibit 101).

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

JPMORGAN CHASE & CO.
(Registrant)
By:	/s/ Jordan A. Costa
Name:	Jordan A. Costa
Title:	Managing Director

Dated: November 24, 2020

XML

Document and Entity Information	Nov. 24, 2020
Document And Entity Information [Line Items]
Entity Registrant Name	JPMORGAN CHASE & CO
Amendment Flag	false
Entity Central Index Key	0000019617
Document Type	8-K
Document Period End Date	Nov. 24, 2020
Entity Incorporation State Country Code	DE
Entity File Number	1-5805
Entity Tax Identification Number	13-2624428
Entity Address, Address Line One	383 Madison Avenue
Entity Address, City or Town	New York
Entity Address, State or Province	NY
Entity Address, Postal Zip Code	10179
City Area Code	(212)
Local Phone Number	270-6000
Written Communications	false
Soliciting Material	false
Pre Commencement Tender Offer	false
Pre Commencement Issuer Tender Offer	false
Entity Emerging Growth Company	false
Common Stock [Member]
Document And Entity Information [Line Items]
Security 12b Title	Common stock
Trading Symbol	JPM
Security Exchange Name	NYSE
Depositary Shares Each Representing A One Four Hundredth Interest In A Share Of 6.10 Not Cumulative Preferred Stock Series Aa [Member]
Document And Entity Information [Line Items]
Security 12b Title	Depositary Shares, each representing a one-four hundredth interest in a share of6.10% Non-Cumulative Preferred Stock, Series AA
Trading Symbol	JPM PR G
Security Exchange Name	NYSE
Depositary Shares Each Representing A One Four Hundredth Interest In A Share Of 6.15 Not Cumulative Preferred Stock Series Bb [Member]
Document And Entity Information [Line Items]
Security 12b Title	Depositary Shares, each representing a one-four hundredth interest in a share of6.15% Non-Cumulative Preferred Stock, Series BB
Trading Symbol	JPM PR H
Security Exchange Name	NYSE
Depositary Shares Each Representing A One Four Hundredth Interest In A Share Of 5.75 Not Cumulative Preferred Stock Series Dd [Member]
Document And Entity Information [Line Items]
Security 12b Title	Depositary Shares, each representing a one-four hundredth interest in a share of5.75% Non-Cumulative Preferred Stock, Series DD
Trading Symbol	JPM PR D
Security Exchange Name	NYSE
Depositary Shares Each Representing A One Four Hundredth Interest In A Share Of 6.00 Not Cumulative Preferred Stock Series Ee [Member]
Document And Entity Information [Line Items]
Security 12b Title	Depositary Shares, each representing a one-four hundredth interest in a share of6.00% Non-Cumulative Preferred Stock, Series EE
Trading Symbol	JPM PR C
Security Exchange Name	NYSE
Depositary Shares One Four Hundredth Interestina Shareof 4.75 Not Cumulative Preferred Stock Series GG [Member]
Document And Entity Information [Line Items]
Security 12b Title	Depositary Shares, each representing a one-four hundredth interest in a share of4.75% Non-Cumulative Preferred Stock, Series GG
Trading Symbol	JPM PR J
Security Exchange Name	NYSE
Alerian MLP Index ET Ns Due May 242024 [Member]
Document And Entity Information [Line Items]
Security 12b Title	Alerian MLP Index ETNs due May 24, 2024
Trading Symbol	AMJ
Security Exchange Name	NYSEArca
Guaranteeof Callable Step Up Fixed Rate Notes Due April 262028of JP Morgan Chase Financial Company LLC [Member]
Document And Entity Information [Line Items]
Security 12b Title	Guarantee of Callable Step-Up Fixed Rate Notes due April 26, 2028 of JPMorganChase Financial Company LLC
Trading Symbol	JPM/28
Security Exchange Name	NYSE