schema version:

SBSE-A: Filer Information

SBSE-A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
JPMorgan Chase Bank, N.A.
B. IRS Empl. Ident. No.:
13-4994650
C. Applicant's NFA ID #:
229152
Applicant's CIK #:
0000835271
Applicant’s UIC # (if any):
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
1111 POLARIS PARKWAY
Street Address 2:
City:
COLUMBUS
State/Province/Country:
OHIO
Zip/ Postal Code:
43240
E. Mailing Address, if different:
Street Address 1:
Street Address 2:
City:
State/Province/Country:
Zip/ Postal Code:
F. Business Telephone Number:
212-648-0466
G. Website/URL:
H. Contact Employee:
Prefix:
First Name:
Heather
Middle Name:
K
Last Name:
Emmert
Suffix:
Title:
Executive Director
Phone:
614-248-1726
Email Address:
heather.k.emmert@jpmchase.com
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
Joseph
Middle Name:
Last Name:
Cerullo
Suffix:
Title:
Chief Compliance Officer
Phone:
1-212-648-1577
Email Address:
joseph.a.cerullo@jpmorgan.com

SBSE-A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
10-19-2021
Name of Applicant
JPMorgan Chase Bank, N.A.
By: Signature
Joseph Cerullo
Name of Person Signing on Applicant's behalf
Scott Stevens
Title of Person Signing on Applicant's behalf
Compliance Manager

SBSE-A: Applicant Data - Page 2

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  JPMorgan Chase Bank, N.A.
Date:     Applicant NFA No.:  229152

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button not checked Yes Radio button checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button checked Yes Radio button not checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's business:
JPMorgan Chase Bank, N.A offers a range services, including investment banking, financial services for consumers and small businesses, commercial banking, and asset management.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button checked Yes Radio button not checked No
If "yes," identify the prudential regulator:
Checkbox checked The Federal Reserve Board
Checkbox checked The Office of the Comptroller of the Currency
Checkbox checked The Federal Deposit Insurance Corporation
Checkbox not checked The Farm Credit Administration
Checkbox not checked The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? Radio button checked Yes Radio button not checked No

SBSE-A: Applicant Data - Page 3

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  JPMorgan Chase Bank, N.A.
Date:     Applicant NFA No.:  229152

13.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? Radio button not checked Yes Radio button checked No
B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? Radio button not checked Yes Radio button checked No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

15.

Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others.Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button not checked Yes Radio button checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
19

Please list all principals who are individuals on Schedule A.

19.

Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A: Schedule A of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  JPMorgan Chase Bank, N.A.
Date:     Applicant NFA No.:  229152

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

Use Schedule A to identify all principals of the applicant who are individuals.

Complete the "Title or Status" column by entering board/management titles; status as partner, trustee, sole proprietor, or shareholder; and for shareholders, the class of securities owned (if more than one is issued).

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more

FULL LEGAL NAME

Prefix
Individuals: Last Name
AMERICA
Individuals: First Name
GUY
Individuals: Middle Name
JOS JEAN
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
06/2015
Date Individual began working for applicant (MM/YYYY)
06/2015
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
452881
CRD No.
005269271
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
BADRICHANI
Individuals: First Name
MARC
Individuals: Middle Name
KARIM
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
06/2015
Date Individual began working for applicant (MM/YYYY)
06/2015
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
453348
CRD No.
005784977
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
BAMMANN
Individuals: First Name
LINDA
Individuals: Middle Name
BETH
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
311151
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
BARNUM
Individuals: First Name
JEREMY
Individuals: Middle Name
Suffix
Title or Status
CHIEF FINANCIAL OFFICER
Date Title or Status Acquired(MM/YYYY)
08/2021
Date Individual began working for applicant (MM/YYYY)
08/2021
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
540345
CRD No.
003264782
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
BURKE
Individuals: First Name
STEPHEN
Individuals: Middle Name
BARNETT
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
501477
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
CERULLO
Individuals: First Name
JOSEPH
Individuals: Middle Name
ANTHONY
Suffix
Title or Status
CHIEF COMPLIANCE OFFICER
Date Title or Status Acquired(MM/YYYY)
06/2017
Date Individual began working for applicant (MM/YYYY)
06/2017
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
359907
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
CHERWIN
Individuals: First Name
MATTHEW
Individuals: Middle Name
L
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
06/2015
Date Individual began working for applicant (MM/YYYY)
06/2015
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
454195
CRD No.
002791031
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
COMBS
Individuals: First Name
TODD
Individuals: Middle Name
ANTHONY
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
501338
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
CROWN
Individuals: First Name
JAMES
Individuals: Middle Name
S
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
02/2013
Date Individual began working for applicant (MM/YYYY)
02/2013
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
452741
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
DIMON
Individuals: First Name
JAMES
Individuals: Middle Name
Suffix
Title or Status
DIRECTOR PRESIDENT CHIEF EXECUTIVE OFFICER
Date Title or Status Acquired(MM/YYYY)
02/2013
Date Individual began working for applicant (MM/YYYY)
02/2013
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
280946
CRD No.
002095352
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
FLYNN
Individuals: First Name
TIMOTHY
Individuals: Middle Name
PATRICK
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
501342
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
LEUNG
Individuals: First Name
MARK
Individuals: Middle Name
CHI MAN
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
11/2016
Date Individual began working for applicant (MM/YYYY)
11/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
499491
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
LUCAS
Individuals: First Name
MELLODY
Individuals: Middle Name
HOBSON
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
04/2018
Date Individual began working for applicant (MM/YYYY)
04/2018
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
512860
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
NEAL
Individuals: First Name
MICHAEL
Individuals: Middle Name
ALLEN
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
501343
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
NOVAKOVIC
Individuals: First Name
PHEBE
Individuals: Middle Name
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
04/2021
Date Individual began working for applicant (MM/YYYY)
04/2021
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
536926
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
PINTO
Individuals: First Name
DANIEL
Individuals: Middle Name
EDUARDO
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
06/2015
Date Individual began working for applicant (MM/YYYY)
06/2015
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
452882
CRD No.
004953866
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
ROHRBAUGH
Individuals: First Name
TROY
Individuals: Middle Name
LARRY
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
258154
CRD No.
006131422
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
ROMETTY
Individuals: First Name
VIRGINIA
Individuals: Middle Name
MARIA
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
06/2020
Date Individual began working for applicant (MM/YYYY)
06/2020
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
531254
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
SIPPEL
Individuals: First Name
JASON
Individuals: Middle Name
EDWIN
Suffix
Title or Status
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
10/2016
Date Individual began working for applicant (MM/YYYY)
10/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
256001
CRD No.
001718602
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

SBSE-A: Schedule B of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  JPMorgan Chase Bank, N.A.
Date:     Applicant NFA No.:  229152

Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.

This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: Radio button checked Initial   Radio button not checked Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
0229152
Assigning Regulator(s)/Entity(s):
National Futures Association
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
U.S. futures and derivatives markets
UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
Consumer Financial Protection Bureau
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
Consumer financial products and services
UIC (if any), or other Unique Identification Number(s):
628
Assigning Regulator(s)/Entity(s):
Federal Deposit Insurance Corporation
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
Consumer financial products and services
UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
Federal Reserve Bank of New York
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
Consumer financial products and services
UIC (if any), or other Unique Identification Number(s):
23160
Assigning Regulator(s)/Entity(s):
Office of the Comptroller of the Currency
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
Consumer financial products and services