# EDGAR Filing Document

**Accession Number:** 0000810417
**File Stem:** 0000810417-26-000004
**Filing Date:** 2026-6
**Character Count:** 367994
**Document Hash:** 0b4006095765b79ff0b1c16312628e05
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000810417-26-000004.hdr.sgml**: 20260626

**ACCESSION NUMBER**: 0000810417-26-000004

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260602

**DATE AS OF CHANGE**: 20260626

**EFFECTIVENESS DATE**: 20260612

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** EDWARD D JONES & CO LP /TA
- **CENTRAL INDEX KEY:** 0000810417

**ORGANIZATION NAME:**
- **EIN:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01496
- **FILM NUMBER:** 261126735

**BUSINESS ADDRESS:**
- **STREET 1:** 12555 MANCHESTER ROAD
- **CITY:** ST LOUIS
- **STATE:** MO
- **ZIP:** 63131
- **BUSINESS PHONE:** 314-515-2000

**MAIL ADDRESS:**
- **STREET 1:** 12555 MANCHESTER ROAD
- **CITY:** ST LOUIS
- **STATE:** MO
- **ZIP:** 63131

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** EDWARD D JONES & CO LP /TA

**FINS Number:** 000570

**Address of principal office where transfer agent activities are performed:** 12555 Manchester Road, St. Louis, MO, 63131

**Is mailing address different from principal office address?:** No

**Telephone Number:** 314-515-2000

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 8640 S. River Parkway, Tempe, AZ, 85284

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Partnership

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** Penelope Pennington

- **Agreement Description:** Chief Executive Officer

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                             | Relationship Start Date   | Title or Status   | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| EDJ Holding Company, Inc.               | 08/28/1987                | General Partner   | NA               | Yes              |
| The Jones Financial Companies, L.L.L.P. | 08/28/1987                | Limited Partner   | E                | Yes              |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC Admin Proceedings File No. 3-11780

    - **Action Date:** 12/22/2004

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission (SEC)

    - **Action Description:** The SEC alleged Edward Jones (a) failed to disclose its financial incentives to sell mutual funds from the preferred families on its website and other written documentation, and orally to clients, (b) failed to disclose on its website or any other written documentation any incentives to sell 529 Plans, and (c) willfully violated Section 17(A)(2) of the Securities Act, Rules 10B-10 under the Exchange Act, Section 15B(C)(1) of the Exchange Act, and contravened the dictates of MSRB Rule G-15. The SEC deemed it appropriate to (a) censure Edward Jones, (b) order Edward Jones to cease and desist from committing any violations of Section 17(A)(2) of the Securities Act, Section 15B(C)(1) of the Exchange Act, Rules 10B-10 and MSRB Rule G-15, and (c) order Edward Jones to pay a total of $37.5 million for disgorgement plus prejudgment interest and a $37.5 million as a civil monetary penalty, for a total of $75 million. The SEC further ordered Edward Jones to (i) place and maintain on its mutual fund portion of its public website specific disclosures regarding its preferred mutual fund family program ("Program"), (ii) place and maintain specific disclosures regarding 529 Plans of its Program on its public website, (iii) send information about these disclosure to its new clients for its mutual fund and 529 transaction and then to its clients on a quarterly basis, (iv) establish policies and procedures to conduct reviews of all prospectuses and SAIS, (v) place on its public website Edward Jones' policies and procedures regarding the adding or removing of mutual fund families from its preferred list, (vi) retain an independent consultant ("IC") to review these policies and procedures and its distribution plan, (vii) have the IC submit a report to the SEC's staff about its review of Edward Jones' policies and procedures and distribution plan, (viii) report to the SEC's staff about the recommendations that it will adopt, and (ix) have the IC submit a final report to Edward Jones and the SEC staff.

    - **Disposition:** Monetary/Fine $37,500,000; Censure; Disgorgement/Restitution; and Cease & Desist/Injunction.

  - **Details #2:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC Admin Proceedings File No. 85-3075

    - **Action Date:** 09/01/1984

    - **Court/Body Name and Location:** SEC

    - **Action Description:** The SEC alleged that applicant violated the Securities Act of 1933 in an underwriting pursuant to a shelf registration of debentures of D.H. Baldwin Co., in 1982, by continuing to sell the securities pursuant to a false and misleading registration statement after adverse information appeared in the press about the issuer. A final judgment of permanent injunction enjoining and restraining applicant from violating Section 17(A)(1) & (3) of the Securities Act was entered. Applicant consented to the entry of the judgment without admitting or denying the allegations. Judgment requires applicant to create a "Due Diligence Review Committee" to review and supervise its due diligence review procedures. Although applicant was not charged with any knowledge of or active deceit in connection with any alleged deficiencies in the registration statement, the SEC alleged that the applicant recklessly failed to verify statements contained therein after the appearance of the news articles.

    - **Disposition:** Cease & Desist/Injunction.

  - **Details #3:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P. (Case No. 3-16751)

    - **Action Date:** 08/13/2015

    - **Court/Body Name and Location:** SEC

    - **Action Description:** Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a Of the Securities Act of 1933 And Sections 15(B), 15b(C), And 21c Of the Securities Exchange Act of 1934, Making Findings, And Imposing Remedial Sanctions and A Cease And-Desist Order. RESPONSE: The SEC determined that Edward Jones failed to make bona fide public offerings to its customers at initial offering prices and failed to have internal controls to prevent certain improper trading practices in the secondary market for municipal securities. As a result, Edward Jones willfully violated Sections 17(a)(2) and (3) of the Securities Act, Section 15B(c)(1) of the Exchange Act, and Rules G-17, G-11(b) and (d), G-27, and G-30(a) of the Municipal Securities Rulemaking Board ("MSRB"), and failed reasonably to supervise within the meaning of Section 15(b)(4)(E) of the Exchange Act.

    - **Disposition:** Edward Jones settled the matter, agreeing to censure; a civil penalty of $15,000,000; pay disgorgement of $4,524,332.60 and prejudgment interest of $670,068.77; and cease and desist from committing or causing any future violations.

  - **Details #4:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P. (Case No. 3-16867)

    - **Action Date:** 09/30/2015

    - **Court/Body Name and Location:** SEC

    - **Action Description:** Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a of the Securities Act and Section 15(B) of the Securities Exchange Act, Making Findings, And Imposing Remedial Sanctions and A Cease-And-Desist Order. This is a matter involving violations of an antifraud provision of the federal securities laws in connection with Respondent's underwriting of certain municipal securities offerings. The SEC found that the Firm conducted inadequate due diligence in certain offerings and as a result, failed to form a reasonable basis for believing the truthfulness of certain material representations in official statements issued in connection with those offerings, resulting in Respondent offering and selling municipal securities on the basis of materially misleading disclosure documents in violation of Section 17(a)(2) of the Securities Act. The violations discussed in the Order were self-reported by Respondent to the SEC pursuant to the Division of Enforcement's Municipalities Continuing Disclosure Cooperation Initiative. In reaching a settlement, the SEC considered the cooperation of the Firm in self-reporting the violations.

    - **Disposition:** In a consent order, Edward Jones agreed to implement an Independent Consultant's recommendations on policies and procedures for municipal securities underwriting due diligence, cease and desist from further violations and pay a civil penalty of $100,000.

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC Admin Proceedings File No. 3-11780

    - **Action Date:** 12/22/2004

    - **Court/Body Name and Location:** SEC

    - **Action Description:** See item 10(c)(1) above.

    - **Disposition:** See item 10(c)(1) above.

  - **Details #2:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC Admin Proceedings File No. 85-3075

    - **Action Date:** 09/01/1984

    - **Court/Body Name and Location:** SEC

    - **Action Description:** See item 10(c)(1) above.

    - **Disposition:** See item 10(c)(1) above.

  - **Details #3:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC Admin Proceedings File No. 3-9181

    - **Action Date:** 11/06/1996

    - **Court/Body Name and Location:** SEC

    - **Action Description:** The SEC alleged that applicant violated Section 22 of the Investment Company Act of 1940 for improperly permitting the charge of commissions on the repurchases of certain unit investment trusts. Applicant executed an offer of settlement with an agreement to cease and desist from future violations of Rule C-1, a censure and payment of a $50,000 civil penalty.

    - **Disposition:** Monetary/Fine $50,000; Censure; and Cease & Desist/Injunction.

  - **Details #4:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P. (Case No. 3-16751)

    - **Action Date:** 08/13/2015

    - **Court/Body Name and Location:** SEC

    - **Action Description:** Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a Of the Securities Act of 1933 And Sections 15(B), 15b(C), And 21c Of the Securities Exchange Act of 1934, Making Findings, And Imposing Remedial Sanctions and A Cease And-Desist Order. RESPONSE: The SEC determined that Edward Jones failed to make bona fide public offerings to its customers at initial offering prices and failed to have internal controls to prevent certain improper trading practices in the secondary market for municipal securities. As a result, Edward Jones willfully violated Sections 17(a)(2) and (3) of the Securities Act, Section 15B(c)(1) of the Exchange Act, and Rules G-17, G-11(b) and (d), G-27, and G-30(a) of the Municipal Securities Rulemaking Board ("MSRB"), and failed reasonably to supervise within the meaning of Section 15(b)(4)(E) of the Exchange Act.

    - **Disposition:** Edward Jones settled the matter, agreeing to censure; a civil penalty of $15,000,000; pay disgorgement of $4,524,332.60 and prejudgment interest of $670,068.77; and cease and desist from committing or causing any future violations.

  - **Details #5:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P. (Case No. 3-16867)

    - **Action Date:** 09/30/2015

    - **Court/Body Name and Location:** SEC

    - **Action Description:** Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a of the Securities Act and Section 15(B) of the Securities Exchange Act, Making Findings, And Imposing Remedial Sanctions and A Cease-And-Desist Order. This is a matter involving violations of an antifraud provision of the federal securities laws in connection with Respondent's underwriting of certain municipal securities offerings. The SEC found that the Firm conducted inadequate due diligence in certain offerings and as a result, failed to form a reasonable basis for believing the truthfulness of certain material representations in official statements issued in connection with those offerings, resulting in Respondent offering and selling municipal securities on the basis of materially misleading disclosure documents in violation of Section 17(a)(2) of the Securities Act. The violations discussed in the Order were self-reported by Respondent to the SEC pursuant to the Division of Enforcement's Municipalities Continuing Disclosure Cooperation Initiative. In reaching a settlement, the SEC considered the cooperation of the Firm in self-reporting the violations.

    - **Disposition:** In a consent order, Edward Jones agreed to implement an Independent Consultant's recommendations on policies and procedures for municipal securities underwriting due diligence, cease and desist from further violations and pay a civil penalty of $100,000.

  - **Details #6:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 3-22001

    - **Action Date:** 08/14/2024

    - **Court/Body Name and Location:** SEC

    - **Action Description:** On August 14, 2024, Edward Jones entered into a settlement with the SEC in connection with the SEC's industry-wide investigation into the preservation of electronic communications. The SEC alleged Edward Jones violated recordkeeping provisions of Section 17(a) of the Securities Exchange Act of 1934 ("Exchange Act") and Section 204 of the Investment Advisers Act of 1940 ("Advisers Act") and supervisory provisions of Section 15(b)(4)(E) of the Exchange Act and Section 203(e)(6) of the Advisers Act, and applicable rules thereunder, in connection with retention of electronic communications stored on personal devices or messaging platforms that have not been approved by Edward Jones for business use by its employees. Prior to the settlement, Edward Jones fully cooperated with the SEC's investigation and enhanced its policies and procedures concerning the use of approved communication methods.

    - **Disposition:** The settlement imposes a cease-and-desist order and censure, requires Edward Jones to pay a civil monetary penalty of $50 million, and requires Edward Jones to comply with undertakings including retention of an independent compliance consultant to assess the firm's policies and systems regarding electronic communications recordkeeping and assist Edward Jones in further enhancing those policies and systems.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC Admin Proceedings File No. 3-11780

    - **Action Date:** 12/22/2004

    - **Court/Body Name and Location:** SEC

    - **Action Description:** See item 10(c)(1) above.

    - **Disposition:** See item 10(c)(1) above.

- **Federal/State agency found a false statement or omission?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case File No. AP-05-31

    - **Action Date:** 12/23/2004

    - **Court/Body Name and Location:** State of Missouri Securities Division

    - **Action Description:** THE PARTIES ENTERED INTO A CONSENT ORDER TO SETTLE THIS MATTER. THE MISSOURI SECURITIES DIVISION ALLEGED THAT EDWARD JONES FAILED TO ADEQUATELY DISCLOSE TO INVESTORS INFORMATION ABOUT ITS REVENUE SHARING ARRANGEMENTS INVOLVING CERTAIN MUTUAL FUND COMPANIES. EDWARD JONES CONSENTED TO THE ENTRY OF AN ORDER, NECESSARY FOR THE PROTECTION OF PUBLIC INVESTORS AND CONSISTENT WITH THE PROVISIONS OF CHAPTER 409 RSMO SUPP. 2004, WHICH PROVIDED THAT;(1)EDWARD JONES SHALL MAKE AVAILABLE UPON REQUEST BY THE DIVISION ALL INFORMATION AND REPORTS SUBMITTED TO THE SELF-REGULATORY AND LAW ENFORCEMENT AUTHORITIES PERTAINING TO ITS POLICIES AND PROCEDURES REGARDING REVENUE SHARING;(2)EDWARD JONES SHALL MAKE AVAILABLE UPON REQUEST BY THE SECURITIES DIVISION INFORMATION REGARDING THE IMPLEMENTATION OF ITS MUTUAL FUND RESEARCH PROGRAM; AND (3)EDWARD JONES WAS ORDERED TO PAY A CIVIL PENALTY OF $650,000.00 MADE PAYABLE TO THE STATE OF MISSOURI, AND IT WAS ORDERED TO PAY $850,000.00 TO EDUCATION FUNDS. EDWARD JONES WILL PAY ITS OWN COSTS AND ATTORNEYS FEES.

    - **Disposition:** Monetary/Fine $1,500,000.

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case File No. 05-053-CAG

    - **Action Date:** 10/01/2004

    - **Court/Body Name and Location:** State of Maine Office of Securities

    - **Action Description:** THE OFFICE OF SECURITIES ALLEGED THAT EDWARD JONES VIOLATED THE REVISED MAINE SECURITIES ACT SECTIONS 10201 AND 10313(1)(G), 32M.R.S.A. PARAGRAPH 10101-10713, WHEN IT FAILED TO DISCLOSE TO ITS MAINE CLIENTS THAT IT RECEIVED REVENUE SHARING PAYMENTS FROM THE SALE OF PREFERRED MUTUAL FUNDS. EDWARD JONES NEITHER ADMITTED NOR DENIED THAT IT VIOLATED THE REVISED MAINE SECURITIES ACT, SECTIONS 10201, 10313(1)(G). EDWARD JONES ENTERED INTO A CONSENT AGREEMENT FOR THE SOLE PURPOSE OF RESOLVING THIS MATTER.

    - **Disposition:** Monetary/Fine $250,000.

  - **Details #2:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case/Docket File No. 06E018

    - **Action Date:** 04/26/2000

    - **Court/Body Name and Location:** Office of Securities Commissioner for the State of Kansas

    - **Action Description:** THE STATE OF KANSAS ALLEGED THAT EDWARD JONES FAILED TO SUPERVISE A FINANCIAL ADVISOR IN THE DISBURSEMENT OF CLIENT FUNDS FROM AN IRA ACCOUNT. EDWARD JONES NEITHER ADMITS NOR DENIES THE ALLEGATIONS BUT AGREES TO PAY RESTITUTION TO THE CLIENT OF $7,500.00. EDWARD JONES ALSO AGREES TO MAKE A PAYMENT TO THE INVESTOR EDUCATION FUND PURSUANT TO K.S.A. 17-1271(D) AND L. 2004, CH. 154, 40(D), THE AMOUNT OF $2,500.00

    - **Disposition:** Monetary/Fine $10,000.

  - **Details #3:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case File No. AP-05-31

    - **Action Date:** 12/23/2004

    - **Court/Body Name and Location:** State of Missouri Securities Division

    - **Action Description:** See item 10(d)(1) above.

    - **Disposition:** See item 10(d)(1) above.

  - **Details #4:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. C00-06-540

    - **Action Date:** 06/23/2000

    - **Court/Body Name and Location:** State of Iowa Insurance Commissioner

    - **Action Description:** THE STATE OF IOWA ALLEGED THAT EDWARD JONES FAILED TO REASONABLY SUPERVISE A FINANCIAL ADVISOR WHO WAS INVOLVED IN AN UNAUTHORIZED SALE OF UNREGISTERED STOCK IN TWO COMPANIES. THE STATE ISSUED AN ORDER TO CEASE AND DESIST AND PAY A CIVIL PENALTY AND COSTS OF $9,500.

    - **Disposition:** Monetary/Fine $9,500; and Cease & Desist/Injunction.

  - **Details #5:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Alaska Order No. 03-04 S

    - **Action Date:** 09/24/2002

    - **Court/Body Name and Location:** State of Alaska, Division of Banking, Securities and Corporations

    - **Action Description:** THE STATE OF ALASKA ALLEGED THAT EDWARD D. JONES FAILED TO PROPERLY CLASSIFY AND MAINTAIN A RECORD OF SPECIFIED CORRESPONDENCE AS A COMPLAINT. THE APPLICANT AGREED TO TAKE THE CORRECTIVE ACTIONS AS REQUIRED BY THE STATE OF ALASKA IN CONNECTION WITH THIS CONSENT ORDER.

    - **Disposition:** Monetary/Fine $11,000.

  - **Details #6:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. SEU-98-079

    - **Action Date:** 12/17/2002

    - **Court/Body Name and Location:** State of Hawaii - Department of Commerce and Consumers Affairs

    - **Action Description:** THE STATE OF HAWAII ALLEGED THAT EDWARD JONES AND AN EDWARD JONES FINANCIAL ADVISOR EFFECTED THREE TRANSACTIONS WITHOUT THE PROPER REGISTRATION PURSUANT TO SECTION 485- 14 OF THE ACT. UNDER CONSENT ORDER AGREED TO BY THE FIRM, THE FIRM WAS ASSESSED $3,000 CIVIL PENALTY FOR THE UNREGISTERED ACTIVITY OF A FINANCIAL ADVISOR.

    - **Disposition:** Monetary/Fine $3,000.

  - **Details #7:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. 2000-99-038

    - **Action Date:** 02/04/2000

    - **Court/Body Name and Location:** Securities Division of the New Mexico Secretary of State

    - **Action Description:** THE STATE OF NEW MEXICO ALLEGED THE APPLICANT VIOLATED CERTAIN LICENSING PROVISIONS OF THE NEW MEXICO SECURITIES ACT OF 1986. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, EDWARD JONES AGREED TO PAY A $5,000 CIVIL PENALTY FINE AND $500 IN INVESTIGATION COSTS.

    - **Disposition:** Monetary/Fine $8,000.

  - **Details #8:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. 05-101-S

    - **Action Date:** 03/27/2003

    - **Court/Body Name and Location:** State of Vermont Securities Division

    - **Action Description:** THE STATE OF VERMONT ALLEGED EDWARD JONES DID NOT ADEQUATELY SUPERVISE A FINANCIAL ADVISOR IN THE DISBURSEMENT OF FUNDS IN A CLIENT'S IRA ACCOUNT. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, EDWARD JONES AGREED TO PAY INTO AN EDWARD JONES MONEY MARKET IRA FOR THE CLIENT, THE DISTRIBUTION AMOUNT OF $3,781.97 PLUS THE ESTIMATED TAX PENALTY OF $1,718.03 FOR A TOTAL OF $5,500.00, REVISE SUPERVISORY POLICIES AND UPDATE FORM U-4 TO INCLUDE THE DIVISION'S LETTER OF ADMONITION TO THE FINANCIAL ADVISOR.

    - **Disposition:** Monetary/Fine $5,500.

  - **Details #9:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. 91-0004CD

    - **Action Date:** 11/07/1991

    - **Court/Body Name and Location:** Secretary of State, Indiana Securities Division

    - **Action Description:** THE STATE OF INDIANA ALLEGED EDWARD JONES MADE MISREPRESENTATIONS REGARDING COMPLAINTS RECEIVED FROM CLIENTS OF ITS MARION, INDIANA BRANCH OFFICE CONCERNING SALES PRESENTATIONS FOR MUTUAL FUNDS REGARDING THE RISK OF LOSS. APPLICANT ENTERED INTO A CONSENT AGREEMENT WITH INDIANA. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS OR THAT VIOLATIONS OF THE INDIANA SECURITIES ACT OCCURRED, APPLICANT AGREED TO CONDUCT A COMPLIANCE SEMINAR FOR INDIANA BROKERS; TO DISCLOSE TO THE INDIANA SECURITIES DIVISION ANY INDIANA INVESTOR COMPLAINTS; TO OFFER TO SETTLE WITH COMPLAINING CLIENTS UP TO 72% OF THEIR PRINCIPAL LOSSES; AND TO REIMBURSE THE DIVISION FOR ITS UNSPECIFIED COSTS OF INVESTIGATIONS.

    - **Disposition:** Consent agreement.

  - **Details #10:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P., Case No. S-16-0017

    - **Action Date:** 09/13/2018

    - **Court/Body Name and Location:** Arkansas Securities Department

    - **Action Description:** Consent Order The Arkansas Securities Department found that Edward Jones failed to establish, maintain and enforce a system to adequately supervise the activities of a financial advisor who violated firm-imposed trading restrictions and firm policies. The Department also found that Edward Jones failed to properly disclose a complaint and settlement involving the financial advisor, as well as the fact that the financial advisor was under internal review at the time of his termination.

    - **Disposition:** Edward Jones entered into the AWC agreeing to pay a fine of $50,000, conduct a review of its supervisory practices and to update the financial advisor's Form U5.

  - **Details #11:**

    - **Entity Name:** Edward Jones

    - **Action Title:** Edward Jones, Case No. 10-0504 CA

    - **Action Date:** 03/01/2011

    - **Court/Body Name and Location:** Indiana Secretary of State, Securities Division

    - **Action Description:** Consent Order Indiana Secretary of State, Securities Division, alleged that the Firm failed to supervise a single financial advisor who changed the primary account holder and social security number on an account by submitting paperwork without complete signatures.

    - **Disposition:** Without admitting or denying the allegations, Edward Jones entered into a Consent Agreement, agreeing to pay the Indiana Secretary of State, Securities Division $10,000.00.

  - **Details #12:**

    - **Entity Name:** Edward Jones

    - **Action Title:** In the Matter of Edward Jones, Case No. C-201200002

    - **Action Date:** 02/25/2014

    - **Court/Body Name and Location:** New Hampshire Department of State, Bureau of Securities Regulation

    - **Action Description:** The New Hampshire Department of State, Bureau of Securities Regulation alleged that the Firm violated N.H. RSA 421-B:8, X relating to telephone solicitation calls. Without admitting or denying the allegations, Edward Jones entered into a Consent Agreement and Order, agreeing to implement procedural changes in the areas of training, compliance and supervision of financial advisors telephone solicitation activity and report on compliance with the consent Order at 6 months and one year from the date of the Order.

    - **Disposition:** Edward Jones entered in to a Consent agreement and agreed to pay an Administrative fine of $400,000, $170,000 in costs and make a $175,000 contribution to NH Investor Education.

  - **Details #13:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Pennsylvania Department of Banking and Securities, Case No. 160043 (SEC-CAO)

    - **Action Date:** 08/04/2016

    - **Court/Body Name and Location:** Commonwealth of Pennsylvania Department of Banking and Securities

    - **Action Description:** Consent Agreement and Order The Pennsylvania Department of Banking and Securities alleged that the Firm failed to supervise an agent in violation of the Pennsylvania Securities Act of 1972.

    - **Disposition:** Without admitting or denying the allegations, Edward Jones entered into a Consent Agreement and Order, agreeing to comply with the Pennsylvania Securities Act and pay an Administrative Assessment of $135,000,000 & $10,000.00 for the costs of investigation

  - **Details #14:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC-2010-32

    - **Action Date:** 03/02/2010

    - **Court/Body Name and Location:** State of Montana

    - **Action Description:** The Montana Securities Department investigated the actions of a former financial advisor for allegedly misappropriating customer funds. Edward Jones terminated the financial advisor and reported the matter to the Montana Securities Department. Edward Jones and the Montana Securities Department have entered into a Consent Agreement which includes Edward Jones paying a $100,000 fine for a books and records violation, paying six customers a total of $349,464.92 in restitution, storing exact duplicates of certain types of identified negative confirmation letters, and undertaking a review of its written supervisory procedures with respect to the execution of blank letters of authorization.

    - **Disposition:** Monetary/Fine $100,000; Restitution.

  - **Details #15:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 85-89

    - **Action Date:** 11/21/1985

    - **Court/Body Name and Location:** Secretary of State, Illinois Securities Department

    - **Action Description:** The state of Illinois alleged Edward Jones made untrue statements in violation of Illinois securities law of 1953, commission of fraud, inequitable business practice, and omission to state material facts regarding the sale of D.H. Baldwin debentures. the state filed notice of hearing to determine whether to revoke or suspend the state of Illinois registrations of Edward Jones and nine financial advisors. without admitting or denying any of the allegations, applicant entered into a stipulation & consent to enter an order with the state in which it agreed to review the office procedures of 12 Illinois offices every 6 months for a one year period; submit a form u-4 report for each of the 12 financial advisors whose offices have additional audit procedures; provide the state with a report from an independent counsel on its due diligence procedures; pay the state $10,000; and submit to arbitration with 22 D.H. Baldwin holders listed on an exhibit attached to the consent. in return, the state agreed to dismiss with prejudice the to applicant and seven financial advisors from any further action.

    - **Disposition:** Monetary/Fine $10,000.

  - **Details #16:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. SEU-98-014

    - **Action Date:** 09/18/1998

    - **Court/Body Name and Location:** State of Hawaii Securities Commissioner

    - **Action Description:** The state of Hawaii filed a preliminary cease and desist order alleging that an Edward Jones financial advisor violated various provisions of Hawaii revised statutes, including wrongfully obtaining funds. applicant was charged with failure to supervise. applicant agreed pay client's principal loss of $43,000 and reimbursement to the state for administrative costs of $12,500.

    - **Disposition:** Monetary/Fine $55,500.

  - **Details #17:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 93-058-S

    - **Action Date:** 11/17/1993

    - **Court/Body Name and Location:** State of Vermont Securities Division

    - **Action Description:** The state of Vermont alleged that Edward Jones transacted business through an unregistered branch office and failed to provide notification relative to branch office changes. the applicant entered into a consent order wherein it neither admitted nor denied the division's allegations. applicant agreed to a fine of $3,500 and costs of $500.

    - **Disposition:** Monetary/Fine $3,500.

  - **Details #18:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 88-142

    - **Action Date:** 12/14/1988

    - **Court/Body Name and Location:** Secretary of State, Illinois Securities Department

    - **Action Description:** The state issued notice of hearing wherein it alleged that certain activities or business and sales practices conducted by defendants involving the sale of limited partnership interests issued by natural resource management provided sufficient grounds to require a public hearing. the applicant entered into a settlement agreement with Illinois. without admitting or denying any of the allegations brought by the state, applicant agreed to give the complaining customers the option of arbitrating their complaints or being paid a settlement amount predetermined by Edward Jones and the state of Illinois.

    - **Disposition:** Settlement Agreement.

  - **Details #19:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 92.133.DOS

    - **Action Date:** 02/01/1992

    - **Court/Body Name and Location:** State of Florida Department of Banking and Finance

    - **Action Description:** The state of Florida alleged Edward Jones violated the Florida securities & investor protection act, with regards to the temporary operation of six branch offices for which it had assigned Florida licensed representatives and had submitted pending applications to the department, but for which it had not yet received approval from Florida. the applicant entered into a stipulation and consent agreement with Florida. without admitting or denying that these activities constituted violations of the Florida securities & investor protection act, applicant agreed to make a $15,000 contribution to Florida's antifraud trust fund and to make certain ongoing changes to the supervision of its Florida offices. effective April 12, 1996, applicant was relieved of any ongoing special compliance requirements governing its Florida offices formerly imposed by the agreement.

    - **Disposition:** Monetary/Fine $15,000.

  - **Details #20:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 1988-7-82

    - **Action Date:** 12/01/1988

    - **Court/Body Name and Location:** Idaho Department of Finance

    - **Action Description:** The state of Idaho alleged applicant violated regulations regarding the supervision of securities-related activities of non-registered branch personnel. applicant entered a consensual agreement with the state in which, without admitting or denying the findings of the state, it agreed to develop and abide by written policies supervising the securities-related activities of non-registered branch personnel, to conduct adequate supervision thereof, to pay a fine of $5,000, and to reimburse the state $2,000 for its costs of investigation.

    - **Disposition:** Monetary/Fine $5,000.

  - **Details #21:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 8704-2

    - **Action Date:** 02/01/1988

    - **Court/Body Name and Location:** Pennsylvania Securities Commissioner

    - **Action Description:** The state of Pennsylvania alleged Edward Jones violated of certain provisions of the Pennsylvania securities act of 1972 by engaging in transactions in Pennsylvania without having registered as a broker/dealer in the state. the applicant entered into a consensual settlement, and without admission or denial of guilt, Pennsylvania issued its order in which the applicant was censured, prohibited from engaging in any further transactions in Pennsylvania and from reapplying for registration for a period of 18 months, and paid a fine $18,369.

    - **Disposition:** Monetary/Fine $18,269; and Censure.

  - **Details #22:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC-2007-00021

    - **Action Date:** 07/02/2010

    - **Court/Body Name and Location:** State of Virginia - Division of Securities

    - **Action Description:** In April 2002, the Virginia State Corporation Commission, Division of Securities and Retail Franchising (the "Division") commenced an investigation into Edward Jones based on actions of a former financial advisor and his recommendation for use of margin dating back to 1998. After investigating the matter, the Division alleged that Edward Jones conducted activity that constituted a violation of the Virginia Securities Act and provisions of the Code of Virginia: (i) by engaging in a transaction, practice or course of business which operates as a fraud or deceit upon a purchaser; (ii) by failing to make and keep true, accurate and current, and preserve the books and records relating to its business; (iii) by failing to establish, maintain and enforce written procedures; (iv) by failing to perform frequent examinations of all customer accounts to detect and prevent irregularities or abuses; and (v) by failing to review and receive written approval by the designated supervisor of the delegation by any customer of discretionary authority with respect to the customer's account. Edward Jones will offer to pay 50% of the equity losses incurred by four Virginia investors identified by the Division. Edward Jones will offer a rebate of 65% of the margin interest paid by the Virginia investors identified to the Division and who had a margin loan between January 1, 1998 and June 30, 2001.

    - **Disposition:** Settlement Agreement. See details in 10(d)(2)(v) above.

  - **Details #23:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** AP-10-15

    - **Action Date:** 07/09/2010

    - **Court/Body Name and Location:** Missouri Securities Division

    - **Action Description:** In July 2009, the Missouri Securities Division (the "Division") began an investigation regarding the sale of a variable annuity to a client of Edward Jones who is now deceased. Upon completing its investigation, the Division alleged Edward Jones failed to reasonably supervise its financial advisor by failing to reasonably review the death benefit options available for the variable annuity.

    - **Disposition:** Settlement Agreement. See details in 10(d)(2)(v) above.

  - **Details #24:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 08-012

    - **Action Date:** 10/15/2008

    - **Court/Body Name and Location:** Maine Office of Securities

    - **Action Description:** The State of Maine Office of Securities investigated the actions of a former financial advisor for allegedly exercising discretion in two customer accounts, and investigated Edward Jones to determine whether it failed to reasonably supervise the financial advisor. Edward Jones and the Office of Securities have entered into a Consent Order which includes Edward Jones paying a $10,000 fine, and which states that Edward Jones failed to reasonably supervise the financial advisor by failing to detect or take timely action regarding conflicting information provided by the financial advisor, and failed to detect or adequately investigate the financial advisor's use of discretion in two client accounts and to confirm the accuracy of its representations to the Office of Securities.

    - **Disposition:** Monetary/Fine $10,000.

  - **Details #25:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 10-0504-CA

    - **Action Date:** 12/22/2010

    - **Court/Body Name and Location:** State of Indiana Office of the Secretary of State, Securities Division

    - **Action Description:** In July 2009, the Indiana Secretary of State, Securities Division (the "State") alleged that Edward Jones failed to supervise the activities of a now deceased financial advisor. Specifically, the State alleged the financial advisor was able to change the primary account holder and social security number on an account by submitting a form to the headquarters office without the required number of signatures, in violation of firm policy.

    - **Disposition:** Monetary/Fine $10,000.

  - **Details #26:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Consent Order Number: S-21-3243-22-CO01

    - **Action Date:** 11/14/2022

    - **Court/Body Name and Location:** Washington State Department of Financial Institutions, Securities Division

    - **Action Description:** On November 14, 2022, Edward Jones entered into a consent order with the Washington State Department of Financial Institutions, Securities Division (the "Division"). The Division alleged that between 2017 and 2021, Edward Jones violated RCW 21.20.110(1)(j) by failing to supervise a former financial advisor, who the Division alleged received payments of gifts and loans totaling approximately $550,000.00 from an elderly client without disclosing the payments to Edward Jones. The Division further alleged that Edward Jones failed to detect the financial advisor's undisclosed outside business. Upon becoming aware of the financial advisor's conduct, Edward Jones terminated the financial advisor on December 13, 2021.

    - **Disposition:** Without admitting or denying the allegations, Edward Jones agreed to reasonably supervise its financial advisors, pay a fine of $150,000 and investigative costs of $25,000.

  - **Details #27:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket Number: 240001 (SEC-CAO)

    - **Action Date:** 01/12/2024

    - **Court/Body Name and Location:** Pennsylvania Department of Banking and Securities

    - **Action Description:** In the fall of 2023, Edward Jones identified a historical compliance deficiency in connection with the Pennsylvania investment adviser representative registration requirement and self-reported the same to the Pennsylvania Department of Banking and Securities ("the Department"). On January 12, 2024, Edward Jones and the Department entered into a Consent Order ("the Order"). The Department alleged that from in or about January 2015 through the present, Edward Jones failed to register at least one employee as an investment adviser representative in Pennsylvania in violation of Section 301(c.1)(1)(ii) of the Pennsylvania Securities Act of 1972 ("the 1972 Act").

    - **Disposition:** Without admitting or denying the findings in the Order, Edward Jones agreed to pay a monetary fine of $300,000 and to comply with the relevant provision of the 1972 Act.

  - **Details #28:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET/CASE NUMBER: 23211-AG24-0425-075

    - **Action Date:** 10/10/2024

    - **Court/Body Name and Location:** INDIANA DEPARTMENT OF INSURANCE

    - **Action Description:** The Enforcement Division of the Indiana Department of Insurance alleged that Edward Jones violated an insurance law and was liable for a civil penalty under Indiana Code Section 27-1-15.6-12(b)(2) in connection with Edward Jones' failure to disclose its January 2024 Consent Agreement and Order with the Pennsylvania Department of Banking and Securities to the Indiana Department of Insurance in a timely manner.

    - **Disposition:** On March 20, 2024, Edward Jones reported its January 2024 Consent Agreement with the Pennsylvania Department of Banking and Securities (the "Pennsylvania Order") to the Indiana Department of Insurance (the "Department") and advised the Department of its inadvertent omission of the Pennsylvania Order in the Firm's January 22, 2024 renewal application for its Indiana nonresident producer business entity license. Pursuant to Indiana Code Section 27-1-15.6-12(b)(2), the Commissioner may levy a civil penalty on an insurance producer's license for violating an insurance law, including Indiana Code Section 27-1-15.6-17(a). Edward Jones agreed to pay a civil penalty of $1,000.00.

  - **Details #29:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FILE NO. 84787

    - **Action Date:** 08/13/2024

    - **Court/Body Name and Location:** MINNESOTA DEPARTMENT OF COMMERCE

    - **Action Description:** THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT EDWARD JONES VIOLATED MINN. R. 2876.5021 SUBP. 1 WHEN IT RECEIVED NOTICE OF A UNIFORM COMMERCIAL CODE COLLATERAL LIEN ON A CUSTOMER ACCOUNT AND GAVE THE CUSTOMER AN INCORRECT TOTAL OF HER ASSETS SUBJECT TO THE LIEN AND DID NOT TIMELY PROVIDE THE CUSTOMER WITH HER COLLATERAL-FREE ACCOUNT BALANCE.

    - **Disposition:** ON AUGUST 13, 2024, EDWARD JONES ENTERED INTO A CIVIL PENALTY AGREEMENT WITH THE MINNESOTA DEPARTMENT OF COMMERCE TO RESOLVE THIS MATTER. THE CIVIL PENALTY AGREEMENT WAS PUBLISHED OCTOBER 28, 2024. PURSUANT TO THE CIVIL PENALTY AGREEMENT, EDWARD JONES AGREED TO PAY A CIVIL PENALTY OF $2,000 AND TO CEASE AND DESIST FROM VIOLATING ANY LAWS, RULES, OR ORDERS RELATED TO THE DUTIES AND RESPONSIBILITIES ENTRUSTED TO THE COMMISSIONER OF THE MINNESOTA DEPARTMENT OF COMMERCE. EDWARD JONES PAID THE PENALTY ON AUGUST 19, 2024.

  - **Details #30:**

    - **Entity Name:** Edward D. Jones & Co., L.P

    - **Action Title:** Order No. 23-106-S

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Alaska Department of Commerce, Community, and Economic Development Division of Banking and Securities

    - **Action Description:** Pursuant to Alaska Statute 3 AAC 08.030(a)(2) the State Of Alaska Department Of Commerce, Community, And Economic Development Division Of Banking And Securities alleged that, during the period of approximately July 1, 2016 to June 3, 2018 (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment advisor and manage those assets.

    - **Disposition:** The State of Alaska Department Of Commerce, Community, And Economic Development Division Of Banking And Securities Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 3 AAC 08.030(a)(2). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Alaska.

  - **Details #31:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. S-23-0013/ Order No. S-23-0013-23-Or01

    - **Action Date:** 12/23/2024

    - **Court/Body Name and Location:** The Arkansas Securities Commissioner

    - **Action Description:** Pursuant to Ark. Code Ann. Section 23-42-301(f) and Rule 301.01(c)(2), the Arkansas Securities Commissioner alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment advisor and manage those assets.

    - **Disposition:** The Arkansas Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Ark. Code Ann. Section 23-42-301(f) and Rule 301.01(c)(2). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Arkansas Securities Department. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #32:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD No. 250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of California Department of Financial Protection and Innovation

    - **Action Description:** Pursuant to Corporations Code Section 25218 and Code of Regulations, title 10, section 260.218.4, the State of California's Commissioner of the Department of Financial Protection and Innovation alleged that, during the period of approximately July 1, 2016 to June 3, 2018, ("the Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment advisor and manage those assets.

    - **Disposition:** The Commissioner of the Department of Financial Protection and Innovation found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Corporations Code Section 25218 and Code of Regulations, title 10, section 260.218.4. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72, payable to the California Department of Financial Protection and Innovation.

  - **Details #33:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2023-CDS-019

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Colorado Securities Commission

    - **Action Description:** Pursuant to sections 11-51-410(1)(i), 11-51-606(2)(a) and (b)(II), C.R.S. of the Colorado Securities Act, the Securities Commissioner - State Of Colorado alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The State of Colorado's Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of sections 11-51-606(2)(a) and (b)(II), C.R.S. of the Colorado Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of Colorado.

  - **Details #34:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CO-23-11056-S

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State Of Connecticut's Department Of Banking Securities And Business Investments Division

    - **Action Description:** Pursuant to Section 36b-31-6f(b) of the Regulations of Connecticut State Agencies, the State Of Connecticut's Department Of Banking Securities and Business Investments Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** State Of Connecticut's Department of Banking Securities And Business Investments Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation 36b-31-6f(b) of the Regulations of Connecticut State Agencies. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Treasurer, State of Connecticut. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #35:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Investor Protection Case No.: 23-0136

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Delaware Investor Protection Unit

    - **Action Description:** Pursuant, to Rule 609(b)(4)(a) of the Rules Pursuant to the Delaware Securities Act, the Investor Protection Director of The State Of Delaware alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Investor Protection Director of The State Of Delaware found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Rule 609(b)(4)(a) of the Delaware Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Investor Protection Fund of the State of Delaware.

  - **Details #36:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. ENSC-241123

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Georgia Commissioner of Securities

    - **Action Description:** Pursuant, to Rule 590-4-5-.12 of the Georgia Uniform Securities Act, the Commissioner of Securities of the State of Georgia alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period", Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner of Securities of the State of Georgia found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of O.C.G.A. Rule 590-4-5-.12. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Georgia Secretary of State Revenue.

  - **Details #37:**

    - **Entity Name:** Edward D. Jones & Co. L.P.

    - **Action Title:** SEB20230062

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Hawaii Department of Commerce and Consumer Affairs

    - **Action Description:** Pursuant to Hawaii Revised Statutes section 485A-412(d)(9) the Hawaii Department of Commerce and Consumer Affairs alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Hawaii Department of Commerce and Consumer Affairs found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Hawaii Revised Statutes section 485A-412(d)(9). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the general fund of the State of Hawaii.

  - **Details #38:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2023-7-06

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Department of Finance of The State Of Idaho

    - **Action Description:** Pursuant to Idaho Administrative Procedures Act Rule 12.01.08.105.03 the Idaho Department of Finance alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Idaho Department of Finance found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Idaho Administrative Procedures Act Rule 12.01.08.105.03. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the general fund of the Finance Department of Idaho.

  - **Details #39:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 2300475

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Illinois Securities Department

    - **Action Description:** Pursuant to Section 8.E(1)(e)(iv) of the Illinois Securities Law of 1953, the Illinois Securities Division as administrator of the Illinois Securities Law, alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Illinois Securities Department found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Section 8.E(1)(e)(iv) of the Illinois Securities Law of 1953. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Illinois Securities Department.

  - **Details #40:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 23-0017 CA

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Indiana Office of the Secretary of State Securities Division

    - **Action Description:** Pursuant to 710 I.A.C. Section 4-7-6(d)(1) of the Indiana Uniform Securities Act, the Indiana Securities Division as administrator of the Indiana Securities Act alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Indiana Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 710 I.A.C. Section 4-7-6(d)(1) of the Indiana Uniform Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to State of Indiana Secretary of State Notary. Furthermore, as Indiana served as a Lead State in this matter, Edward Jones will also pay an additional $15,000.00 payable for investigatory costs.

  - **Details #41:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. 119293

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Iowa Insurance Division

    - **Action Description:** Pursuant to Iowa Code section 502.412(4)(i), the Iowa Insurance Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Iowa Insurance Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Iowa Code section 502.412(4)(i). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Iowa Insurance Division's Enforcement Fund.

  - **Details #42:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 24 E 016 / KSC No. 2024-6907

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Kansas Securities Commission

    - **Action Description:** Pursuant to Kansas Uniform Securities Act section 17-12a412(c), the Securities Commissioner of the State of Kansas alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner Of the State Of Kansas found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Kansas Uniform Securities Act section 17-12a412(c). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Kansas Insurance Department.

  - **Details #43:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Securities Docket No. 2023-0261

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Securities Commissioner of Maryland

    - **Action Description:** Pursuant to Section 11-412(a)(10) of the Maryland Securities Act, the Securities Commissioner of Maryland alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner of Maryland found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of section 412(a)(10)of the Maryland Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Maryland, Maryland Office of the Attorney General.

  - **Details #44:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** E-2018-0048

    - **Action Date:** 12/24/2024

    - **Court/Body Name and Location:** Commonwealth Of Massachusetts, Office Of The Secretary Of The Commonwealth Securities Division

    - **Action Description:** Pursuant to Mass. Gen. Laws c. 110A, section 204(a)(2)(J), the Commonwealth Of Massachusetts, Office Of The Secretary Of The Commonwealth Securities Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commonwealth Of Massachusetts, Office Of The Secretary of The Commonwealth Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Mass. Gen. Laws c. 110A, section 204(a)(2)(J). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Commonwealth of Massachusetts Secretary of State.

  - **Details #45:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ENF-23-020101

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Michigan Department of Licensing and Regulatory Affairs, Corporations, Securities, and Commercial Licensing Bureau

    - **Action Description:** Pursuant to MCL 451.2412(4)(i) of the Michigan Uniform Securities Act, the Director of the Corporations, Securities, and Commercial Licensing Bureau ("Bureau") within the State of Michigan, Department of Licensing and Regulatory Affairs alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of MCL 451.2412(4)(i) of the Michigan Uniform Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State Treasurer, State of Michigan. Furthermore, as Michigan served as a Lead State in this matter, Edward Jones will pay $15,000.00 to for investigatory costs.

  - **Details #46:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** AP-23-18

    - **Action Date:** 12/19/2024

    - **Court/Body Name and Location:** The Enforcement Section of the Missouri Securities Division of the Office of Secretary of State

    - **Action Description:** Pursuant to 15 CSR 30-51.171(2)(A) of the Missouri Securities Act of 2003, the Enforcement Section of the Missouri Securities Division of the Office of Secretary of State alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Enforcement Section of the Missouri Securities Division of the Office of Secretary of State found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 15 CSR 30-51.171(2)(A) of the Missouri Securities Act of 2003. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Missouri Secretary of State Investor Education and Protection Fund.

  - **Details #47:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC-2023-00223

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Commissioner of Securities and Insurance, Office Of The Montana State Auditor

    - **Action Description:** Pursuant to Mont. Code Ann. section 30-10-201(13)(k), the Commissioner of Securities and Insurance, Office Of The Montana State Auditor, alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner of Securities and Insurance, Office Of The Montana State Auditor found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Mont. Code Ann. section 30-10-201(13)(k). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Montana. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #48:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Nebraska Department of Banking and Finance

    - **Action Description:** Pursuant to Securities Act of Nebraska, Neb. Rev. Stat Section 8-1103(9)(a)(xi) of the Act, the Nebraska Department of Banking and Finance alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Nebraska Department of Banking and Finance found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of the Securities Act of Nebraska, Neb. Rev. Stat Section 8-1103(9)(a)(xi). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Nebraska Department Of Banking and Finance.

  - **Details #49:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. INV23-171

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Nevada Office of The Secretary of State Securities Division

    - **Action Description:** Pursuant to NRS 90.420(1)(l), the State Of Nevada Office Of The Secretary Of State Securities Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** State of Nevada Office of The Secretary of State Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of NRS 90.420(1)(l). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Nevada Secretary of State. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #50:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of North Dakota Securities Department

    - **Action Description:** Pursuant to N.D.C.C. section 10-04-11(1)(m), the North Dakota Securities Commissioner, as administrator of the Securities Act (the "Securities Commissioner"), alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of N.D.C.C. section 10-04-11(1)(m) of the North Dakota Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the North Dakota Securities Department.

  - **Details #51:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** No. 24-097

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Attorney General Of the State of New York Investor Protection Bureau

    - **Action Description:** Pursuant to Executive Law Section 63(15), the Attorney General Of the State of New York Investor Protection Bureau ("Bureau") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Executive Law Section 63(15). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Bureau.

  - **Details #52:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. S-23-0046

    - **Action Date:** 12/26/2024

    - **Court/Body Name and Location:** State of Oregon Department of Consumer and Business Services Division of Financial Regulation

    - **Action Description:** Pursuant to Oregon Administrative Rule ("OAR") 660:11-5-42(b)(22)(A), the Director of the Department of Consumer and Business Services ("Director") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Director found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of OAR 660:11-5-42(b)(22)(A). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Oregon Department of Consumer & Business Services.

  - **Details #53:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 240047 (SEC-CAO)

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Commonwealth of Pennsylvania Department of Banking and Securities

    - **Action Description:** Pursuant to 10 Pa. Code section 305.011 (a), the Department of Banking and Securities ("Department") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Department found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of 10 Pa. Code section 305.011 (a). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Department of Banking and Securities.

  - **Details #54:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Commonwealth of Puerto Rico Office of the Commissioner of Financial Institutions

    - **Action Description:** Pursuant to Article 204(a)(2)(J) of Puerto Rico Uniform Securities Act ("PRUSA") and Article 28 of Regulation No. 6078 of January 19, 2000, as amended, known as "Regulation under the Uniform Securities Act ("Regulation 6078"), the Office of the Commissioner of Financial Institutions Act (the "Commissioner") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Article 204(a)(2)(J) of PRUSA and Regulation 6078. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Department of Treasury of the Commonwealth of Puerto Rico.

  - **Details #55:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DBR NO. 2023-SC-003

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** STATE OF RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION SECURITIES DIVISION

    - **Action Description:** Pursuant to R.I. Gen. Laws section 7-11-212(b)(11), the Director of the Department of Business Regulation ("Director") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Director found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of R.I. Gen. Laws section 7-11-212(b)(11). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the General Fund of the State of Rhode Island.

  - **Details #56:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 20233326

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** SECURITIES COMMISSIONER OF SOUTH CAROLINA

    - **Action Description:** Pursuant to S.C. Code Ann. section 35-1-412(d)(9), the Securities Commissioner of South Carolina (the "Securities Commissioner") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of S.C. Code Ann. section 35-1-412(d)(9). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Office of the Attorney General of the State of South Carolina.

  - **Details #57:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET NO. 23-016-S

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Vermont Department of Financial Regulation

    - **Action Description:** Pursuant to V.S.R. section 2-2 of the Vermont Uniform Securities Act ("Act"), the Commissioner of Financial Regulation (the "Commissioner") for the State of Vermont alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of V.S.R. section 2-2 of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $272,641.52 to the Department of Financial Regulation, as well as providing a contribution of $48,113.20 to the Vermont Financial Services Education and Victim Restitution Special Fund.

  - **Details #58:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No. S-19-2768-23-CO01

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Securities Division of the Washington State Department of Financial Institutions

    - **Action Description:** Pursuant to RCW 21.20.110(1)(j) of the Securities Act of Washington (the "Act"), the Securities Division of the Washington State Department of Financial Institutions (the "Securities Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of RCW 21.20.110(1)(j) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Securities Division, plus an additional $15,000 to cover investigatory costs incurred by the Securities Division while serving as a lead state in this matter spanning multiple states.

  - **Details #59:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ORDER NO: SB-CO-04-23

    - **Action Date:** 12/30/2024

    - **Court/Body Name and Location:** District of Columbia Department of Insurance, Securities and Banking

    - **Action Description:** Pursuant to D.C. Official Code section 31-5602.07 (a)(12) of the District of Columbia Securities Act of 2000 ("the D.C. Securities Act"), the Commissioner of the D.C. Department of Insurance, Securities and Banking ("the Department") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Department found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of D.C. Official Code section 31-5602.07 (a)(12) of the D.C. Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the D.C. Treasurer.

  - **Details #60:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 23-0071

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of West Virginia, West Virginia Securities Commission

    - **Action Description:** Pursuant to section 32-2-204(a)(2)(J) of the West Virginia Uniform Securities Act (the "Securities Act"), the West Virginia Securities Commission (the "Securities Commission") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of section 32-2-204(a)(2)(J) of the Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of West Virginia.

  - **Details #61:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DFI Case No. S-248377 (LX)

    - **Action Date:** 12/30/2024

    - **Court/Body Name and Location:** Wisconsin Department of Financial Institutions, Division of Securities

    - **Action Description:** Pursuant to Wis. Admin. Code section DFI-Sec. 4.05(2) of the Wisconsin Uniform Securities Law, Chapter 551 ("the Act"), the Wisconsin Department of Financial Institutions, Division of Securities (the "Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Wis. Admin. Code section DFI-Sec. 4.05(2) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 and $15,000.00 in investigatory costs to the State of Wisconsin.

  - **Details #62:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 2023-02

    - **Action Date:** 12/23/2024

    - **Court/Body Name and Location:** State of Wyoming, Compliance Division of the Wyoming Secretary of State

    - **Action Description:** Pursuant to W.S. 17-4-412(d)(ix) of the Wyoming Uniform Securities Act ("the Act"), the Wyoming Secretary of State alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Wyoming Secretary of State found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of W.S. 17-4-412(d)(ix) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Wyoming Secretary of State.

  - **Details #63:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ODS File 24-001

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Oklahoma Department of Securities

    - **Action Description:** Pursuant to Rule 660:11-5-42(b)(22)(A) of the Oklahoma Uniform Securities Act of 2004 (the "Act"), the Administrator of the Oklahoma Department of Securities (the "Administrator") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Rule 660:11-5-42(b)(22)(A) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Oklahoma State Treasurer.

  - **Details #64:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No. IC-25-CAF-01

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Texas State Securities Board

    - **Action Description:** Pursuant to section 115.10(a)(1) of 7 Tex. Admin. Code sections 101.1-139.27 (2022) (Tex. State Sec. Bd.) (the "Board Rules"), the Texas Securities Commissioner (the "Commissioner") as administrator of the Texas Securities Act alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of section 115.10(a)(1) of the Board Rules. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72, plus an additional $15,000 for Texas serving as the lead state in this matter that has spanned multiple states, to the State of Texas.

  - **Details #65:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No.: 2023-003

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** U.S. Virgin Islands Division of Banking, Insurance, and Financial Regulation

    - **Action Description:** Pursuant to Title 9 Ch. 23 section 642(d)(9) of the Virgin Islands Code ("VIC"), the Securities Administrator (the "Administrator") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Title 9 Ch. 23 section 642(d)(9) of the VIC. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Government of the U.S. Virgin Islands.

  - **Details #66:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 116856-S

    - **Action Date:** 01/07/2025

    - **Court/Body Name and Location:** The Florida Office of Financial Regulation

    - **Action Description:** Pursuant to sections 20.121(3)(a)(2) of the Florida Administrative Code, the Florida Office of Financial Regulation ("Office") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those

    - **Disposition:** The Florida Office found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of sections 20.121(3)(a)(2) of the Florida Administrative Code. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Florida.

  - **Details #67:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 01/08/2025

    - **Court/Body Name and Location:** State of New Jersey Bureau of Securities

    - **Action Description:** Pursuant to N.J.S.A. 49:3-58(a)(2)(xi), the State of New Jersey Bureau of Securities (the "Bureau") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of N.J.S.A. 49:3-58(a)(2)(xi) of the New Jersey Securities Law. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 and $15,000 in investigatory costs to the General Treasury of New Jersey.

  - **Details #68:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** NO. 2023-29

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Maine Office of Securities

    - **Action Description:** Pursuant to the Maine Office of Securities Rule Chapter 504 section 7(1), the Maine Securities Administrator alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Maine Securities Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 504 section 7(1) of the Maine Office of Securities Rule. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Treasurer, State of Maine.

  - **Details #69:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 82356

    - **Action Date:** 12/27/2024

    - **Court/Body Name and Location:** The State of Minnesota, the Commissioner of Commerce

    - **Action Description:** Pursuant to Minn. Stat. section 80A.67(d)(9) of the Minnesota Securities Act and Minn. Stat. section 45.027 Subd. 6 and 7, the State of Minnesota, Commissioner of Commerce alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The State of Minnesota, Department of Commerce found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Minn. Stat. section 80A.67(d)(9) of the Minnesota Securities Act and Minn. Stat. section 45.027 Subd. 6 and 7. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Minnesota.

  - **Details #70:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** LS-23-6227

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Office Of The Mississippi Secretary Of State Securities Division

    - **Action Description:** Pursuant to 1 Mississippi Admin Code Pt. 14, R. 5.19 of the Mississippi Securities Act, the Office Of The Mississippi Secretary Of State, Securities Division, alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Office Of The Mississippi Secretary Of State, Securities Division, found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 1 Mississippi Admin Code Pt. 14, R. 5.19. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Mississippi Secretary of State's Office.

  - **Details #71:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** I-2023-000027

    - **Action Date:** 12/24/2024

    - **Court/Body Name and Location:** State of New Hampshire Bureau of Securities Regulation

    - **Action Description:** Pursuant to NH RSA 421-B:4-401(f)(3)(B), the State of New Hampshire Bureau of Securities Regulation (the "Bureau") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of NH RSA 421-B:4-401(f)(3)(B) of the New Hampshire Uniform Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of New Hampshire.

  - **Details #72:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FILE NO. 22SEC113

    - **Action Date:** 01/02/2025

    - **Court/Body Name and Location:** State of North Carolina Department of the Secretary of State Securities Division

    - **Action Description:** Pursuant to N.C. Gen. Stat. section 78A-39(a1), the North Carolina Secretary of State as Administrator of the North Carolina Securities Act (the "Administrator") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of N.C. Gen. Stat. section 78A-39(a1). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Final Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.00 to the North Carolina Secretary of State.

  - **Details #73:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Division Order No.: 25-001

    - **Action Date:** 01/08/2025

    - **Court/Body Name and Location:** State of Ohio Department of Commerce Division of Securities

    - **Action Description:** Pursuant to O.A.C. section 1301:6-3-19(B)(9), the Ohio Division of Securities alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Ohio Division of Securities found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of O.A.C. sections 1301:6-3-19(B)(9) of the Ohio Administrative Code. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Ohio Investor Education and Enforcement Expense Fund.

  - **Details #74:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of South Dakota Department of Labor and Regulation, Division of Insurance

    - **Action Description:** Pursuant to ARSD 20:08:03:01(2)(B), the Director of the Division of Insurance (the "Director") as administrator of the South Dakota Securities Act alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Director found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of ARSD 20:08:03:01(2)(B). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of South Dakota.

  - **Details #75:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No.: 23-01039

    - **Action Date:** 12/27/2024

    - **Court/Body Name and Location:** State of Tennessee Commissioner of Commerce and Insurance

    - **Action Description:** Pursuant to Tenn. Code Ann. section 48-1-112(a)(2)(J), the Commissioner of Commerce and Insurance for the State of Tennessee ("Commissioner") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Tenn. Code Ann. section 48-1-112(a)(2)(J). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Tennessee Department of Commerce and Insurance.

  - **Details #76:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Administrative Order No. CA-2024-0032

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Alabama Securities Commission

    - **Action Description:** Pursuant to Section 8-6-3(j)(10) of Title 8, Chapter 6, Code of Alabama, The Alabama Securities Commission alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Alabama Securities Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Section 8-6-3(j)(10) of Title 8, Chapter 6, Code of Alabama. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Alabama Securities Commission.

  - **Details #77:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2023-AH-0022

    - **Action Date:** 12/27/2024

    - **Court/Body Name and Location:** Kentucky Department of Financial Institutions

    - **Action Description:** Pursuant to Chapter 808 KAR 10:030, section 4(1) of the Kentucky Revised Statutes, the Kentucky Department of Financial Institutions alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Kentucky Department of Financial Institutions found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 808 KAR 10:030, section 4(1) of the Kentucky Revised Statutes. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Kentucky State Treasurer.

  - **Details #78:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** OFI-2023-03

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Louisiana Office of Financial Institutions

    - **Action Description:** Pursuant to 51:704(A)(9) of the Louisiana Securities Law (LSL), the Louisiana Office of Financial Institutions alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Louisiana Office of Financial Institutions found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 51:704(A)(9) of the Louisiana Securities Law. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Louisiana Office of Financial Institutions.

  - **Details #79:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. MS-23-7-10

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of New Mexico Regulation and Licensing Department Securities Division

    - **Action Description:** Pursuant to 12.11.4.10 NMAC, the Securities Division of the New Mexico Regulation and Licensing Department (the "Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of 12.11.4.10 NMAC of the New Mexico Securities Law. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Division.

  - **Details #80:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No.: SD-23-0031

    - **Action Date:** 01/16/2025

    - **Court/Body Name and Location:** State of Utah Department of Commerce Division of Securities

    - **Action Description:** Pursuant to section 61-1-6(2)(a)(ii)(J) of the Utah Uniform Securities Act ("Act"), the Utah Division of Securities ("Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of section 61-1-6(2)(a)(ii)(J) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Division.

  - **Details #81:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET NO. S-21347A-25-0005

    - **Action Date:** 02/19/2025

    - **Court/Body Name and Location:** The Arizona Corporation Commission

    - **Action Description:** Pursuant to A.R.S. sections 44-1961(A)(12) and (B)(1) and 44-2036, the State Of Arizona's Corporation Commission alleged that, during the period of approximately July 1, 2016 to June 3, 2018 (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Arizona Corporation Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of A.R.S. sections 44-1961(A)(12) and (B)(1) and 44-2036. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of Arizona.

  - **Details #82:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. SEC-2024-00016

    - **Action Date:** 02/18/2025

    - **Court/Body Name and Location:** Commonwealth of Virginia State Corporation Commission

    - **Action Description:** Pursuant to 21 VAC-5-20-260 of the Virginia Securities Act (the "Act"), the Virginia State Corporation Commission (the "Commission") alleged that, during the period of approximately July 1, 2016 to June 3, 2018 (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of 21 VAC-5-20-260 of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Treasurer of Virginia.

  - **Details #83:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** No. 25A-006-INS

    - **Action Date:** 04/09/2025

    - **Court/Body Name and Location:** The Arizona Department of Insurance and Financial Institutions

    - **Action Description:** The Arizona Department of Insurance and Financial Institutions ("Department") alleged Edward Jones violated an insurance law and was liable for a civil penalty under Arizona Revised Statutes Section 20-295(A)(2) in connection with its failure to forward beneficiary change forms to a client's insurance companies. Edward Jones did not contest that it failed to forward two annuity beneficiary change forms to its client's insurance companies. The Department found that failure to "demonstrate[] incompetence in the conduct of business" under Arizona Revised Statutes Section 20-295(A)(8). Therefore, pursuant to Section (A)(2), the Department imposed a civil penalty of $250.00 for each form, for a total of $500.00.

    - **Disposition:** On April 9, 2025, Edward Jones entered into Consent Order with the Department to resolve this matter. Edward Jones paid the $500.00 civil penalty on April 2, 2025.

  - **Details #84:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 2025-0191

    - **Action Date:** 06/04/2025

    - **Court/Body Name and Location:** Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association ("NASA"), the Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts ("Division") alleged that, during the period of approximately May 1, 2020 to April 30, 2025 ("Time Period"), Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Mass. Gen. Laws c. 110A, Section 204(a)(2)(J).

    - **Disposition:** On June 4, 2025, Edward Jones entered into a Consent Order with the Division to resolve this matter and, without admitting or denying the statement of facts or violations of law, agreed to the imposition of a censure, to cease and desist from conduct in violation of the Massachusetts Securities Act and the Regulations thereunder, to provide restitution to affected Massachusetts customers in an amount no less than $114,782, to pay a $100,000 administrative fine, to pay $25,000 in investigation costs, and to comply with certain undertakings. The administrative fine and investigation costs were paid on June 17, 2025, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #85:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. S-25-0038

    - **Action Date:** 09/04/2025

    - **Court/Body Name and Location:** STATE OF OREGON DEPARTMENT OF CONSUMER AND BUSINESS SERVICES DIVISION OF FINANCIALREGULATION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Director of the Department of Consumer and Business Services alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Oregon Revised Statutes 59.205(13) and Oregon Administrative Rule 441-205-0210(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Oregon Revised Statutes 59.205(13) and Oregon Administrative Rule 441-205-0210(1), to provide restitution to affected Oregon customers in an amount no less than $203,494.79, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine was paid on September 17, 2025, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #86:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CASE NO.: 25-0060

    - **Action Date:** 09/03/2025

    - **Court/Body Name and Location:** WEST VIRGINIA SECURITIES COMMISSION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the West Virginia Securities Commission alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of West Virginia Uniform Securities Act, W. Va. Code Section 32-2-204(a)(2)(J).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of W. Va. Code Section 32-2-204(a)(2)(J), to provide restitution to affected West Virginia customers in an amount no less than $58,901.77, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #87:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 250026 (SEC-ORD)

    - **Action Date:** 09/05/2025

    - **Court/Body Name and Location:** COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Department of Banking and Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of the Pennsylvania Securities Act, 70 P.S. Section 1-305(a)(vii).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 70 P.S. Section 1-305(a)(vii), to provide restitution to affected Pennsylvania customers in an amount no less than $241,040.51, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #88:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DIVISION ORDER NO: 25-014

    - **Action Date:** 09/25/2025

    - **Court/Body Name and Location:** OHIO DIVISION OF SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Ohio Division of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Ohio Revised Code 1707.19(A)(1)(i).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Ohio Revised Code 1707.19(A)(1)(i), to provide restitution to affected Ohio customers in an amount no less than $506,326.10, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #89:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ADMINISTRATIVE CONSENT ORDER

    - **Action Date:** 10/09/2025

    - **Court/Body Name and Location:** THE SOUTH DAKOTA DIVISION OF INSURANCE

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, The South Dakota Division of Insurance alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of SDCL 47-31B-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of SDCL 47-31B-412(d)(9), to provide restitution to affected South Dakota customers in an amount no less than $51,621.51, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #90:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** No. CO-25-202525-S

    - **Action Date:** 10/08/2025

    - **Court/Body Name and Location:** Connecticut Banking Commissioner

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Banking Commissioner alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 36b-31-6f(b) of the Regulations of Connecticut State Agencies promulgated under the Connecticut Uniform Securities Act ("Regulations").

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 36b-31-6f(b) of the Regulations, to provide restitution to affected Connecticut customers in an amount no less than $72,702.37, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #91:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ODS FILE 25-232

    - **Action Date:** 10/08/2025

    - **Court/Body Name and Location:** OKLAHOMA DEPARTMENT OF SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Oklahoma Department of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 1-411(d)(9) of the Oklahoma Uniform Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of the Oklahoma Uniform Securities Act and the Rules thereunder, to provide restitution to affected Oklahoma customers in an amount no less than $238,568.91, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #92:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET NO. 25-018-S

    - **Action Date:** 10/09/2025

    - **Court/Body Name and Location:** Vermont Department of Financial Regulation

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Vermont Department of Financial Regulation alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Vermont Securities Regulation Section 2-2(b)(2).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Vermont Securities Regulation Section 2-2(b)(2), to provide restitution to affected Vermont customers in an amount no less than $33,919.48, to pay an administrative fine in the amount of $85,000, to contribute $15,000 to the Vermont Financial Services Education and Victim Restitution Special Fund, and to comply with certain undertakings. The administrative fine, the contribution, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #93:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ORDER NO. S-25-0017-25-OR01

    - **Action Date:** 10/13/2025

    - **Court/Body Name and Location:** ARKANSAS SECURITIES COMMISSIONER

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Arkansas Securities Commissioner alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Ark. Code Ann. Section 23-42-301(f)(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Ark. Code Ann. Section 23-42-301(f)(1), to provide restitution to affected Arkansas customers in an amount no less than $170,530.58, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #94:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. MS 25-07-10-2

    - **Action Date:** 10/14/2025

    - **Court/Body Name and Location:** Securities Division of the New Mexico Regulation and Licensing Department

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Director of the Securities Division of the New Mexico Regulation and Licensing Department alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of the New Mexico Uniform Securities Act 1978 ("Act") Section 58-13C-412(C)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of the Act and the rules promulgated thereunder, to provide restitution to affected New Mexico customers in an amount no less than $75,472.63, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #95:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Cause No. 25-0009 CA

    - **Action Date:** 10/08/2025

    - **Court/Body Name and Location:** INDIANA SECRETARY OF STATE, SECURITIES DIVISION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Indiana Securities Division and Indiana Securities Commissioner alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of I.C. Section 23-19-4-12(d)(9) and 710 Section IAC 4-7-6(d).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of I.C. Sections 23-19-4-12(d)(9) and IAC Sections 4-7-6(d), to provide restitution to affected Indiana customers in an amount no less than $431,170.81, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #96:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. SD-25-00-16

    - **Action Date:** 10/23/2025

    - **Court/Body Name and Location:** UTAH DIVISION OF SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Utah Division of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of the Utah Uniform Securities Act Section 61-1-6(2)(a)(ii)(J).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Utah Uniform Securities Act Section 61-1-6(2)(a)(ii)(J), to provide restitution to affected Indiana customers in an amount no less than $58,049.54, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #97:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CO-2025-0029

    - **Action Date:** 11/17/2025

    - **Court/Body Name and Location:** ALABAMA SECURITIES COMMISSION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Alabama Securities Commission alleged that, during the period of approximately May 1, 2020 to April 30, 2025 , Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Rule 830-X-3-.13(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Rule 830-X-3-.13(1), to provide restitution to affected Alabama customers in an amount no less than $148,037.42, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine, investigation costs and restitution will be paid in accordance with the terms of the consent order.

  - **Details #98:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ORDER NO. 25-61-S

    - **Action Date:** 10/27/2025

    - **Court/Body Name and Location:** THE ALASKA DEPARTMENT OF COMMERCE, COMMUNITY, AND ECONOMIC DEVELOPMENT DIVISION OF BANKING AND SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Department of Commerce, Community, and Economic Development, Division of Banking and Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Alaska Statute 45.56.440(d)(9) of the Alaska Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Alaska Statute 45.56.440(d)(9), to provide restitution to affected Alaska customers in an amount no less than $28,642.40, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #99:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Administrative Consent Order

    - **Action Date:** 11/19/2025

    - **Court/Body Name and Location:** Delaware Department of Justice, Investor Protection Unit

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, The Director of the Investor Protection Unit of the Delaware Department of Justice alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Delaware Securities Act, 6 Del. C. Section 73-304(a)(10).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 6 Del. C. Section 73-304(a)(10), to provide restitution to affected Delaware customers in an amount no less than $30,736.41, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #100:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEB20250011

    - **Action Date:** 11/17/2025

    - **Court/Body Name and Location:** STATE OF HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Securities of the State of Hawaii alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Hawaii Revised Statutes ("HRS") 485A-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of HRS 485A-412(d)(9), to provide restitution to affected Hawaii customers in an amount no less than $37,407.62, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #101:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SB-2025-105

    - **Action Date:** 11/14/2025

    - **Court/Body Name and Location:** THE IDAHO DEPARTMENT OF FINANCE

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, The Director of the Idaho Department of Finance alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Idaho Code ("I.C.") Section 30-14-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of I.C. Section 30-14-412(d)(9), to provide restitution to affected Idaho customers in an amount no less than $89,909.43, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #102:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Administrative Consent Order

    - **Action Date:** 11/17/2025

    - **Court/Body Name and Location:** State of Minnesota Department of Commerce

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Minnesota Commissioner of Commerce alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Minnesota Statute Section 80A.67(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Minnesota Statute Section 80A.67(d)(9), to provide restitution to affected Minnesota customers in an amount no less than $261,074.01, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #103:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC-2025-58A

    - **Action Date:** 11/18/2025

    - **Court/Body Name and Location:** COMMISSIONER OF SECURITIES AND INSURANCE, OFFICE OF THE MONTANA STATE AUDITOR

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Securities and Insurance, Montana State Auditor's Office alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Montana Code Annotated ("MCA") Section 30-10-201(13)(k).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of MCA Section 30-10-201(13)(k), to provide restitution to affected Montana customers in an amount no less than $67,601.53, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine, investigation costs and restitution will be paid in accordance with the terms of the consent order.

  - **Details #104:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FINDINGS OF FACT CONCLUSIONS OF LAW AND CONSENT ORDER

    - **Action Date:** 11/14/2025

    - **Court/Body Name and Location:** NEBRASKA DEPARTMENT OF BANKING AND FINANCE

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Nebraska Department of Banking and Finance alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 8-1103(9)(a)(xi) of the Securities Act of Nebraska (the "Act").

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 8-1103(9)(a)(xi) of the Act, to provide restitution to affected Nebraska customers in an amount no less than $134,041.05, to pay an administrative fine in the amount of $10,000, investigation costs in the amount of $15,000 and $75,000 as settlement. The administrative fine, investigation costs, settlement, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #105:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** I-2025000054

    - **Action Date:** 11/14/2025

    - **Court/Body Name and Location:** New Hampshire Department of State Bureau of Securities Regulation

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the New Hampshire Department of State Bureau of Securities Regulation alleged that, during the period of approximately May 1, 2020 to April 30, 2025 (the "Time Period"), Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of RSA Section 421-B:4-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of New Hampshire Uniform Securities Act RSA Section 421-B:4-412(d)(9), to provide restitution to affected New Hampshire customers in an amount no less than $63,079.49, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and restitution will be paid in accordance with the terms of the consent order.

  - **Details #106:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** AP-25-08

    - **Action Date:** 12/15/2025

    - **Court/Body Name and Location:** Enforcement Section of the Missouri Securities Division of the Office of the Secretary of State

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association ("NASAA"), the Enforcement Section of the Missouri Securities Division of the Office of the Secretary of State (the "Enforcement Section") alleged that, during the period of approximately May 1, 2020 to April 30, 2025 (the "Time Period"), Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of 15 CSR 30-51.171(2)(A).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 15 CSR 30-51.171(2)(A), to provide restitution to affected Missouri customers in an amount no less than $526,569.72, to pay a monetary fine in the amount of $125,000 (the amount paid includes an administrative fine in the amount of $100,000, and investigation costs in the amount of $25,000), and to comply with certain undertakings. The monetary fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #107:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** LID-25-CAF-01

    - **Action Date:** 12/19/2025

    - **Court/Body Name and Location:** Texas State Securities Board

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Texas State Securities Board alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of section 115.10(a) of the Texas State Securities Board Rules ("Board Rules") promulgated under the Texas Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of section 115.10(a) of the Board Rules, to provide restitution to affected Texas customers in an amount no less than $1,074,395.63, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #108:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Consent Order

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** State of California Department of Financial Protection and Innovation

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Financial Protection and Innovation alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of California Corporations Code section 25218 and California Code of Regulations, title 10, section 260.218.4.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of California Corporations Code section 25218 and California Code of Regulations, title 10, section 260.218.4, to provide restitution to affected California customers in an amount no less than $520,434.51, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #109:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No: SB-CO-06-25

    - **Action Date:** 03/26/2026

    - **Court/Body Name and Location:** District of Columbia Department of Insurance, Securities and Banking

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the District of Columbia Department of Insurance, Securities and Banking alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of D.C. Official Code Section 31-5602.07(a)(12).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of D.C. Official Code Section 31-5602.07(a)(12), to provide restitution to affected District of Columbia customers in an amount no less than $8,783.59, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #110:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ENSC-251262

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** Commissioner of Securities for the State of Georgia

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Securities for the State of Georgia alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Ga. Comp. R. & Regs. R. 590-4-5-.12(1) and O.C.G.A. Section 10-5-41(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Ga. Comp. R. & Regs. R. 590-4-5-.12(1) and O.C.G.A. Section 10-5-41(d)(9), to provide restitution to affected Georgia customers in an amount no less than $384,825.28, to pay an administrative fine in the amount of $100,000 of which $20,000 will be retained for the cost of the investigation, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #111:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No.: 2500298

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** Illinois Secretary of State Securities Department

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Illinois Secretary of State Securities Department alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 8.E.1.e.iv of the Illinois Securities Law.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 8.E.1.e.iv of the Illinois Securities Law, to provide restitution to affected Illinois customers in an amount no less than $654,428.95, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #112:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** LS-25-8149

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** Mississippi Secretary of State Securities Division

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Secretary of State of the State of Mississippi alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Mississippi Code Annotated Section 75-71-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Miss Code Ann. Section 75-71-412(d)(9), to provide restitution to affected Mississippi customers in an amount no less than $82,132.41, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #113:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. INV25-163

    - **Action Date:** 04/01/2026

    - **Court/Body Name and Location:** Securities Division of the Office of the Nevada Secretary of State

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Securities Division of the Office of the Nevada Secretary of State alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of NRS 90.420(1)(1) of the Nevada Uniform Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of NRS 90.420(1)(1), to provide restitution to affected Nevada customers in an amount no less than $66,759.57, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #114:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Consent Order

    - **Action Date:** 02/24/2026

    - **Court/Body Name and Location:** Puerto Rico Office of the Commissioner of Financial Institutions

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of the Puerto Rico Office of the Commissioner of Financial Institutions alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 204(a)(2)(J) of the Puerto Rico Uniform Securities Act ("PRUSA").

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 204(a)(2)(J) of the PRUSA, to provide restitution to affected Puerto Rico customers in an amount no less than $489.48, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #115:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 20252027

    - **Action Date:** 02/25/2026

    - **Court/Body Name and Location:** Securities Commissioner of South Carolina

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Securities Commissioner of South Carolina alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of S.C. Code Ann. Section 35-1-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of S.C. Code Ann. Section 35-1-412(d)(9), to provide restitution to affected South Carolina customers in an amount no less than $321,397.88, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #116:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DFI Case No. S-251169 (LX)

    - **Action Date:** 03/04/2026

    - **Court/Body Name and Location:** Wisconsin Department of Financial Institutions Division of Securities

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Wisconsin Division of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Wis. Admin. Code Section DFI-Sec 4.05(2).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Wis. Admin. Code Section DFI-Sec 4.05(2), to provide restitution to affected Wisconsin customers in an amount no less than $334,797.49, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #117:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2025-DFI-0145

    - **Action Date:** 04/13/2026

    - **Court/Body Name and Location:** Kentucky Department of Financial Institutions

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Kentucky Department of Financial Institutions alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of 808 Kentucky Administrative Regulations ("KAR") 10:030, Sections 3 and 4(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 808 KAR 10:030, Sections 3 and 4(1), to provide restitution to affected Kentucky customers in an amount no less than $181,263.55, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #118:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. OFI-2025-02

    - **Action Date:** 04/09/2026

    - **Court/Body Name and Location:** Louisiana Office of Financial Institutions

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Louisiana Office of Financial Institutions alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Louisiana Securities Law Section 51:704(A)(9) and Louisiana Administrative Code 10:XIII.1901.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Louisiana Securities Law Section 51:704(A)(9) and Louisiana Administrative Code 10:XIII.1901, to provide restitution to affected Louisiana customers in an amount no less than $180,147.98, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #119:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FINAL ORDER 25ADM002

    - **Action Date:** 05/12/2026

    - **Court/Body Name and Location:** North Carolina Department of the Secretary of State, Securities Division

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the North Carolina Department of the Secretary of State, Securities Division alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of N.C. Gen. Stat. Section 78A-39(a1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of N.C. Gen. Stat. Section 78A-39(a1), to provide restitution to affected North Carolina customers in an amount no less than $579,290.41, to pay a monetary fine in the amount of $100,000 (the amount paid includes a civil penalty of $10,000, and investigation costs in the amount of $90,000), and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #120:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No. S-25-3996-25-CO01

    - **Action Date:** 05/05/2026

    - **Court/Body Name and Location:** Washington State Department of Financial Institutions, Securities Division

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Washington State Department of Financial Institutions Securities Division alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of WAC 460-20C-150(1)(e).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of WAC 460-20C-150(1)(e), to provide restitution to affected Washington customers in an amount no less than $361,844.96, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine, investigation costs, and restitution will be paid in accordance with the terms of the consent order.

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P., Case No. S-16-0017

    - **Action Date:** 09/13/2018

    - **Court/Body Name and Location:** Arkansas Securities Department

    - **Action Description:** Consent Order The Arkansas Securities Department found that Edward Jones failed to establish, maintain and enforce a system to adequately supervise the activities of a financial advisor who violated firm-imposed trading restrictions and firm policies. The Department also found that Edward Jones failed to properly disclose a complaint and settlement involving the financial advisor, as well as the fact that the financial advisor was under internal review at the time of his termination.

    - **Disposition:** Edward Jones entered into the AWC agreeing to pay a fine of $50,000, conduct a review of its supervisory practices and to update the financial advisor's Form U5.

  - **Details #2:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P, Case No. INV20-096

    - **Action Date:** 08/05/2021

    - **Court/Body Name and Location:** Nevada Office of the Secretary of State - Securities Division

    - **Action Description:** The Nevada Securities Division alleged that Edward jones failed to supervise a former financial advisor who had offered and sold personal seat licenses to an Edward Jones client in violation of Nevada Revised Statutes 90.420.

    - **Disposition:** Without admitting or denying the allegations, Edward Jones entered into an Administrative Consent Order agreeing to cease violations of the Nevada Securities Act, pay a civil penalty of $50,000 and investigatory costs of $2,762.57.

  - **Details #3:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Pennsylvania Department of Banking and Securities, Case No. 160043 (SEC-CAO)

    - **Action Date:** 08/04/2016

    - **Court/Body Name and Location:** Commonwealth of Pennsylvania Department of Banking and Securities

    - **Action Description:** Consent Agreement and Order The Pennsylvania Department of Banking and Securities alleged that the Firm failed to supervise an agent in violation of the Pennsylvania Securities Act of 1972.

    - **Disposition:** Without admitting or denying the allegations, Edward Jones entered into a Consent Agreement and Order, agreeing to comply with the Pennsylvania Securities Act and pay an Administrative Assessment of $135,000.00 & $10,000.00 for the costs of investigation

  - **Details #4:**

    - **Entity Name:** Edward Jones

    - **Action Title:** In the Matter of Edward D. Jones & Co., L.P.

    - **Action Date:** 12/20/2019

    - **Court/Body Name and Location:** State of South Dakota Division of Insurance, Department of Labor and Regulation

    - **Action Description:** Consent Order State of South Dakota Division of Insurance, Department of Labor and Regulation alleged that the Firm failed to supervise a single financial advisor in connection with that financial advisor's recommendation of certain mutual funds to the customer in violation of the South Dakota Securities Act and FINRA rules 2010 and 3110.

    - **Disposition:** Consent order agreeing to pay the State of South Dakota Division of Insurance $10,000 for investigatory costs and offer settlement to the customer in the amount of $2,406.47.

  - **Details #5:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Consent Order Number: S-21-3243-22-CO01

    - **Action Date:** 11/14/2022

    - **Court/Body Name and Location:** Washington State Department of Financial Institutions, Securities Division

    - **Action Description:** On November 14, 2022, Edward Jones entered into a consent order with the Washington State Department of Financial Institutions, Securities Division (the "Division"). The Division alleged that between 2017 and 2021, Edward Jones violated RCW 21.20.110(1)(j) by failing to supervise a former financial advisor, who the Division alleged received payments of gifts and loans totaling approximately $550,000.00 from an elderly client without disclosing the payments to Edward Jones. The Division further alleged that Edward Jones failed to detect the financial advisor's undisclosed outside business. Upon becoming aware of the financial advisor's conduct, Edward Jones terminated the financial advisor on December 13, 2021.

    - **Disposition:** Without admitting or denying the allegations, Edward Jones agreed to reasonably supervise its financial advisors, pay a fine of $150,000 and investigative costs of $25,000.

  - **Details #6:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket Number: 240001 (SEC-CAO)

    - **Action Date:** 01/12/2024

    - **Court/Body Name and Location:** Pennsylvania Department of Banking and Securities

    - **Action Description:** In the fall of 2023, Edward Jones identified a historical compliance deficiency in connection with the Pennsylvania investment adviser representative registration requirement and self-reported the same to the Pennsylvania Department of Banking and Securities ("the Department"). On January 12, 2024, Edward Jones and the Department entered into a Consent Order ("the Order"). The Department alleged that from in or about January 2015 through the present, Edward Jones failed to register at least one employee as an investment adviser representative in Pennsylvania in violation of Section 301(c.1)(1)(ii) of the Pennsylvania Securities Act of 1972 ("the 1972 Act").

    - **Disposition:** Without admitting or denying the findings in the Order, Edward Jones agreed to pay a monetary fine of $300,000 and to comply with the relevant provision of the 1972 Act.

  - **Details #7:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No. 23-106-S

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Alaska Department of Commerce, Community, and Economic Development Division of Banking and Securities

    - **Action Description:** Pursuant to Alaska Statute 3 AAC 08.030(a)(2) the State Of Alaska Department Of Commerce, Community, And Economic Development Division Of Banking And Securities alleged that, during the period of approximately July 1, 2016 to June 3, 2018 (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment advisor and manage those assets.

    - **Disposition:** The State of Alaska Department Of Commerce, Community, And Economic Development Division Of Banking And Securities Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 3 AAC 08.030(a)(2). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Alaska.

  - **Details #8:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. S-23-0013/ Order No. S-23-0013-23-Or01

    - **Action Date:** 12/23/2024

    - **Court/Body Name and Location:** The Arkansas Securities Commissioner

    - **Action Description:** Pursuant to Ark. Code Ann. Section 23-42-301(f) and Rule 301.01(c)(2), the Arkansas Securities Commissioner alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment advisor and manage those assets.

    - **Disposition:** The Arkansas Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Ark. Code Ann. Section 23-42-301(f) and Rule 301.01(c)(2). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Arkansas Securities Department. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #9:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD No. 250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of California Department of Financial Protection and Innovation

    - **Action Description:** Pursuant to Corporations Code Section 25218 and Code of Regulations, title 10, section 260.218.4, the State of California's Commissioner of the Department of Financial Protection and Innovation alleged that, during the period of approximately July 1, 2016 to June 3, 2018, ("the Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment advisor and manage those assets.

    - **Disposition:** The Commissioner of the Department of Financial Protection and Innovation found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Corporations Code Section 25218 and Code of Regulations, title 10, section 260.218.4. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72, payable to the California Department of Financial Protection and Innovation.

  - **Details #10:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2023-CDS-019

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Colorado Securities Commission

    - **Action Description:** Pursuant to sections 11-51-410(1)(i), 11-51-606(2)(a) and (b)(II), C.R.S. of the Colorado Securities Act, the Securities Commissioner - State Of Colorado alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The State of Colorado's Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of sections 11-51-606(2)(a) and (b)(II), C.R.S. of the Colorado Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of Colorado.

  - **Details #11:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CO-23-11056-S

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State Of Connecticut's Department Of Banking Securities And Business Investments Division

    - **Action Description:** Pursuant to Section 36b-31-6f(b) of the Regulations of Connecticut State Agencies, the State Of Connecticut's Department Of Banking Securities and Business Investments Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** State Of Connecticut's Department of Banking Securities And Business Investments Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation 36b-31-6f(b) of the Regulations of Connecticut State Agencies. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Treasurer, State of Connecticut. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #12:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Investor Protection Case No.: 23-0136

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Delaware Investor Protection Unit

    - **Action Description:** Pursuant, to Rule 609(b)(4)(a) of the Rules Pursuant to the Delaware Securities Act, the Investor Protection Director of The State Of Delaware alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Investor Protection Director of The State Of Delaware found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Rule 609(b)(4)(a) of the Delaware Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Investor Protection Fund of the State of Delaware.

  - **Details #13:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. ENSC-241123

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Georgia Commissioner of Securities

    - **Action Description:** Pursuant, to Rule 590-4-5-.12 of the Georgia Uniform Securities Act, the Commissioner of Securities of the State of Georgia alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period", Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner of Securities of the State of Georgia found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of O.C.G.A. Rule 590-4-5-.12. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Georgia Secretary of State Revenue.

  - **Details #14:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEB20230062

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Hawaii Department of Commerce and Consumer Affairs

    - **Action Description:** Pursuant to Hawaii Revised Statutes section 485A-412(d)(9) the Hawaii Department of Commerce and Consumer Affairs alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Hawaii Department of Commerce and Consumer Affairs found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Hawaii Revised Statutes section 485A-412(d)(9). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the general fund of the State of Hawaii.

  - **Details #15:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2023-7-06

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Department of Finance of The State Of Idaho

    - **Action Description:** Pursuant to Idaho Administrative Procedures Act Rule 12.01.08.105.03 the Idaho Department of Finance alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Idaho Department of Finance found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Idaho Administrative Procedures Act Rule 12.01.08.105.03. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the general fund of the Finance Department of Idaho.

  - **Details #16:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 2300475

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Illinois Securities Department

    - **Action Description:** Pursuant to Section 8.E(1)(e)(iv) of the Illinois Securities Law of 1953, the Illinois Securities Division as administrator of the Illinois Securities Law, alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Illinois Securities Department found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Section 8.E(1)(e)(iv) of the Illinois Securities Law of 1953. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Illinois Securities Department.

  - **Details #17:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 23-0017 CA

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Indiana Office of the Secretary of State Securities Division

    - **Action Description:** Pursuant to 710 I.A.C. Section 4-7-6(d)(1) of the Indiana Uniform Securities Act, the Indiana Securities Division as administrator of the Indiana Securities Act alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Indiana Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 710 I.A.C. Section 4-7-6(d)(1) of the Indiana Uniform Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to State of Indiana Secretary of State Notary. Furthermore, as Indiana served as a Lead State in this matter, Edward Jones will also pay an additional $15,000.00 payable for investigatory costs.

  - **Details #18:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. 119293

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Iowa Insurance Division

    - **Action Description:** Pursuant to Iowa Code section 502.412(4)(i), the Iowa Insurance Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Iowa Insurance Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Iowa Code section 502.412(4)(i). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Iowa Insurance Division's Enforcement Fund.

  - **Details #19:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 24 E 016 / KSC No. 2024-6907

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Kansas Securities Commission

    - **Action Description:** Pursuant to Kansas Uniform Securities Act section 17-12a412(c), the Securities Commissioner of the State of Kansas alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner Of the State Of Kansas found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Kansas Uniform Securities Act section 17-12a412(c). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Kansas Insurance Department.

  - **Details #20:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Securities Docket No. 2023-0261

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Securities Commissioner of Maryland

    - **Action Description:** Pursuant to Section 11-412(a)(10) of the Maryland Securities Act, the Securities Commissioner of Maryland alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner of Maryland found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of section 412(a)(10)of the Maryland Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Maryland, Maryland Office of the Attorney General.

  - **Details #21:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** E-2018-0048

    - **Action Date:** 12/24/2024

    - **Court/Body Name and Location:** Commonwealth Of Massachusetts, Office Of The Secretary Of The Commonwealth Securities Division

    - **Action Description:** Pursuant to Mass. Gen. Laws c. 110A, section 204(a)(2)(J), the Commonwealth Of Massachusetts, Office Of The Secretary Of The Commonwealth Securities Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commonwealth Of Massachusetts, Office Of The Secretary of The Commonwealth Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Mass. Gen. Laws c. 110A, section 204(a)(2)(J). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Commonwealth of Massachusetts Secretary of State.

  - **Details #22:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ENF-23-020101

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Michigan Department of Licensing and Regulatory Affairs, Corporations, Securities, and Commercial Licensing Bureau

    - **Action Description:** Pursuant to MCL 451.2412(4)(i) of the Michigan Uniform Securities Act, the Director of the Corporations, Securities, and Commercial Licensing Bureau ("Bureau") within the State of Michigan, Department of Licensing and Regulatory Affairs alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of MCL 451.2412(4)(i) of the Michigan Uniform Securities Act. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State Treasurer, State of Michigan. Furthermore, as Michigan served as a Lead State in this matter, Edward Jones will pay $15,000.00 to for investigatory costs.

  - **Details #23:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** AP-23-18

    - **Action Date:** 12/19/2024

    - **Court/Body Name and Location:** The Enforcement Section of the Missouri Securities Division of the Office of Secretary of State

    - **Action Description:** Pursuant to 15 CSR 30-51.171(2)(A) of the Missouri Securities Act of 2003, the Enforcement Section of the Missouri Securities Division of the Office of Secretary of State alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Enforcement Section of the Missouri Securities Division of the Office of Secretary of State found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 15 CSR 30-51.171(2)(A) of the Missouri Securities Act of 2003. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Missouri Secretary of State Investor Education and Protection Fund.

  - **Details #24:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC-2023-00223

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Commissioner of Securities and Insurance, Office Of The Montana State Auditor

    - **Action Description:** Pursuant to Mont. Code Ann. section 30-10-201(13)(k), the Commissioner of Securities and Insurance, Office Of The Montana State Auditor, alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner of Securities and Insurance, Office Of The Montana State Auditor found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Mont. Code Ann. section 30-10-201(13)(k). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Montana. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #25:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Nebraska Department of Banking and Finance

    - **Action Description:** Pursuant to Securities Act of Nebraska, Neb. Rev. Stat Section 8-1103(9)(a)(xi) of the Act, the Nebraska Department of Banking and Finance alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Nebraska Department of Banking and Finance found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of the Securities Act of Nebraska, Neb. Rev. Stat Section 8-1103(9)(a)(xi). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Nebraska Department Of Banking and Finance.

  - **Details #26:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** INV23-171

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Nevada Office of The Secretary of State Securities Division

    - **Action Description:** Pursuant to NRS 90.420(1)(l), the State Of Nevada Office Of The Secretary Of State Securities Division alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** State of Nevada Office of The Secretary of State Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of NRS 90.420(1)(l). Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Nevada Secretary of State. Edward Jones will additionally pay $15,000.00 for investigatory costs.

  - **Details #27:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of North Dakota Securities Department

    - **Action Description:** Pursuant to N.D.C.C. section 10-04-11(1)(m), the North Dakota Securities Commissioner, as administrator of the Securities Act (the "Securities Commissioner"), alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of N.D.C.C. section 10-04-11(1)(m) of the North Dakota Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the North Dakota Securities Department.

  - **Details #28:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** No. 24-097

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Attorney General Of the State of New York Investor Protection Bureau

    - **Action Description:** Pursuant to Executive Law Section 63(15), the Attorney General Of the State of New York Investor Protection Bureau ("Bureau") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Executive Law Section 63(15). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Bureau.

  - **Details #29:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. S-23-0046

    - **Action Date:** 12/26/2024

    - **Court/Body Name and Location:** State of Oregon Department of Consumer and Business Services Division of Financial Regulation

    - **Action Description:** Pursuant to Oregon Administrative Rule ("OAR") 660:11-5-42(b)(22)(A), the Director of the Department of Consumer and Business Services ("Director") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Director found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of OAR 660:11-5-42(b)(22)(A). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Oregon Department of Consumer & Business Services.

  - **Details #30:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 240047 (SEC-CAO)

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Commonwealth of Pennsylvania Department of Banking and Securities

    - **Action Description:** Pursuant to 10 Pa. Code section 305.011 (a), the Department of Banking and Securities ("Department") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Department found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of 10 Pa. Code section 305.011 (a). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Department of Banking and Securities.

  - **Details #31:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Commonwealth of Puerto Rico Office of the Commissioner of Financial Institutions

    - **Action Description:** Pursuant to Article 204(a)(2)(J) of Puerto Rico Uniform Securities Act ("PRUSA") and Article 28 of Regulation No. 6078 of January 19, 2000, as amended, known as "Regulation under the Uniform Securities Act ("Regulation 6078"), the Office of the Commissioner of Financial Institutions Act (the "Commissioner") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Article 204(a)(2)(J) of PRUSA and Regulation 6078. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Department of Treasury of the Commonwealth of Puerto Rico.

  - **Details #32:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DBR NO. 2023-SC-003

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** STATE OF RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION SECURITIES DIVISION

    - **Action Description:** Pursuant to R.I. Gen. Laws section 7-11-212(b)(11), the Director of the Department of Business Regulation ("Director") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Director found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of R.I. Gen. Laws section 7-11-212(b)(11). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the General Fund of the State of Rhode Island.

  - **Details #33:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 20233326

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** SECURITIES COMMISSIONER OF SOUTH CAROLINA

    - **Action Description:** Pursuant to S.C. Code Ann. section 35-1-412(d)(9), the Securities Commissioner of South Carolina (the "Securities Commissioner") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of S.C. Code Ann. section 35-1-412(d)(9). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Office of the Attorney General of the State of South Carolina.

  - **Details #34:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET NO. 23-016-S

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Vermont Department of Financial Regulation

    - **Action Description:** Pursuant to V.S.R. section 2-2 of the Vermont Uniform Securities Act ("Act"), the Commissioner of Financial Regulation (the "Commissioner") for the State of Vermont alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of V.S.R. section 2-2 of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $272,641.52 to the Department of Financial Regulation, as well as providing a contribution of $48,113.20 to the Vermont Financial Services Education and Victim Restitution Special Fund.

  - **Details #35:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** S-19-2768-23-CO01

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Securities Division of the Washington State Department of Financial Institutions

    - **Action Description:** Pursuant to RCW 21.20.110(1)(j) of the Securities Act of Washington (the "Act"), the Securities Division of the Washington State Department of Financial Institutions (the "Securities Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of RCW 21.20.110(1)(j) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Securities Division, plus an additional $15,000 to cover investigatory costs incurred by the Securities Division while serving as a lead state in this matter spanning multiple states.

  - **Details #36:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ORDER NO: SB-CO-04-23

    - **Action Date:** 12/30/2024

    - **Court/Body Name and Location:** District of Columbia Department of Insurance, Securities and Banking

    - **Action Description:** Pursuant to D.C. Official Code section 31-5602.07 (a)(12) of the District of Columbia Securities Act of 2000 ("the D.C. Securities Act"), the Commissioner of the D.C. Department of Insurance, Securities and Banking ("the Department") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Department found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of D.C. Official Code section 31-5602.07 (a)(12) of the D.C. Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the D.C. Treasurer.

  - **Details #37:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 23-0071

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of West Virginia, West Virginia Securities Commission

    - **Action Description:** Pursuant to section 32-2-204(a)(2)(J) of the West Virginia Uniform Securities Act (the "Securities Act"), the West Virginia Securities Commission (the "Securities Commission") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Securities Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of section 32-2-204(a)(2)(J) of the Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of West Virginia.

  - **Details #38:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DFI Case No. S-248377 (LX)

    - **Action Date:** 12/30/2024

    - **Court/Body Name and Location:** Wisconsin Department of Financial Institutions, Division of Securities

    - **Action Description:** Pursuant to Wis. Admin. Code section DFI-Sec. 4.05(2) of the Wisconsin Uniform Securities Law, Chapter 551 ("the Act"), the Wisconsin Department of Financial Institutions, Division of Securities (the "Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Wis. Admin. Code section DFI-Sec. 4.05(2) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 and $15,000.00 in investigatory costs to the State of Wisconsin.

  - **Details #39:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 2023-02

    - **Action Date:** 12/23/2024

    - **Court/Body Name and Location:** State of Wyoming, Compliance Division of the Wyoming Secretary of State

    - **Action Description:** Pursuant to W.S. 17-4-412(d)(ix) of the Wyoming Uniform Securities Act ("the Act"), the Wyoming Secretary of State alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Wyoming Secretary of State found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of W.S. 17-4-412(d)(ix) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Wyoming Secretary of State.

  - **Details #40:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ODS File 24-001

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of Oklahoma Department of Securities

    - **Action Description:** Pursuant to Rule 660:11-5-42(b)(22)(A) of the Oklahoma Uniform Securities Act of 2004 (the "Act"), the Administrator of the Oklahoma Department of Securities (the "Administrator") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Rule 660:11-5-42(b)(22)(A) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Oklahoma State Treasurer.

  - **Details #41:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No. IC-25-CAF-01

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Texas State Securities Board

    - **Action Description:** Pursuant to section 115.10(a)(1) of 7 Tex. Admin. Code sections 101.1-139.27 (2022) (Tex. State Sec. Bd.) (the "Board Rules"), the Texas Securities Commissioner (the "Commissioner") as administrator of the Texas Securities Act alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of section 115.10(a)(1) of the Board Rules. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72, plus an additional $15,000 for Texas serving as the lead state in this matter that has spanned multiple states, to the State of Texas.

  - **Details #42:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No.: 2023-003

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** U.S. Virgin Islands Division of Banking, Insurance, and Financial Regulation

    - **Action Description:** Pursuant to Title 9 Ch. 23 section 642(d)(9) of the Virgin Islands Code ("VIC"), the Securities Administrator (the "Administrator") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Title 9 Ch. 23 section 642(d)(9) of the VIC. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Government of the U.S. Virgin Islands.

  - **Details #43:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 116856-S

    - **Action Date:** 01/07/2025

    - **Court/Body Name and Location:** The Florida Office of Financial Regulation

    - **Action Description:** Pursuant to sections 20.121(3)(a)(2) of the Florida Administrative Code, the Florida Office of Financial Regulation ("Office") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those

    - **Disposition:** The Florida Office found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of sections 20.121(3)(a)(2) of the Florida Administrative Code. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Florida.

  - **Details #44:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 01/08/2025

    - **Court/Body Name and Location:** State of New Jersey Bureau of Securities

    - **Action Description:** Pursuant to N.J.S.A. 49:3-58(a)(2)(xi), the State of New Jersey Bureau of Securities (the "Bureau") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of N.J.S.A. 49:3-58(a)(2)(xi) of the New Jersey Securities Law. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 and $15,000 in investigatory costs to the General Treasury of New Jersey.

  - **Details #45:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** NO. 2023-29

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Maine Office of Securities

    - **Action Description:** Pursuant to the Maine Office of Securities Rule Chapter 504 section 7(1), the Maine Securities Administrator alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Maine Securities Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 504 section 7(1) of the Maine Office of Securities Rule. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Treasurer, State of Maine.

  - **Details #46:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 82356

    - **Action Date:** 12/27/2024

    - **Court/Body Name and Location:** The State of Minnesota, the Commissioner of Commerce

    - **Action Description:** Pursuant to Minn. Stat. section 80A.67(d)(9) of the Minnesota Securities Act and Minn. Stat. section 45.027 Subd. 6 and 7, the State of Minnesota, Commissioner of Commerce alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The State of Minnesota, Department of Commerce found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Minn. Stat. section 80A.67(d)(9) of the Minnesota Securities Act and Minn. Stat. section 45.027 Subd. 6 and 7. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Minnesota.

  - **Details #47:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** LS-23-6227

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Office Of The Mississippi Secretary Of State Securities Division

    - **Action Description:** Pursuant to 1 Mississippi Admin Code Pt. 14, R. 5.19 of the Mississippi Securities Act, the Office Of The Mississippi Secretary Of State, Securities Division, alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Office Of The Mississippi Secretary Of State, Securities Division, found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 1 Mississippi Admin Code Pt. 14, R. 5.19. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Mississippi Secretary of State's Office.

  - **Details #48:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** I-2023-000027

    - **Action Date:** 12/24/2024

    - **Court/Body Name and Location:** State of New Hampshire Bureau of Securities Regulation

    - **Action Description:** Pursuant to NH RSA 421-B:4-401(f)(3)(B), the State of New Hampshire Bureau of Securities Regulation (the "Bureau") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Bureau found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of NH RSA 421-B:4-401(f)(3)(B) of the New Hampshire Uniform Securities Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of New Hampshire.

  - **Details #49:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FILE NO. 22SEC113

    - **Action Date:** 01/02/2025

    - **Court/Body Name and Location:** State of North Carolina Department of the Secretary of State Securities Division

    - **Action Description:** Pursuant to N.C. Gen. Stat. section 78A-39(a1), the North Carolina Secretary of State as Administrator of the North Carolina Securities Act (the "Administrator") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Administrator found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of N.C. Gen. Stat. section 78A-39(a1). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Final Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.00 to the North Carolina Secretary of State.

  - **Details #50:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Division Order No.: 25-001

    - **Action Date:** 01/08/2025

    - **Court/Body Name and Location:** State of Ohio Department of Commerce Division of Securities

    - **Action Description:** Pursuant to O.A.C. section 1301:6-3-19(B)(9), the Ohio Division of Securities alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Ohio Division of Securities found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of O.A.C. sections 1301:6-3-19(B)(9) of the Ohio Administrative Code. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Ohio Investor Education and Enforcement Expense Fund.

  - **Details #51:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CRD #250

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of South Dakota Department of Labor and Regulation, Division of Insurance

    - **Action Description:** Pursuant to ARSD 20:08:03:01(2)(B), the Director of the Division of Insurance (the "Director") as administrator of the South Dakota Securities Act alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Director found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of ARSD 20:08:03:01(2)(B). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of South Dakota.

  - **Details #52:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No.: 23-01039

    - **Action Date:** 12/27/2024

    - **Court/Body Name and Location:** State of Tennessee Commissioner of Commerce and Insurance

    - **Action Description:** Pursuant to Tenn. Code Ann. section 48-1-112(a)(2)(J), the Commissioner of Commerce and Insurance for the State of Tennessee ("Commissioner") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commissioner found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of Tenn. Code Ann. section 48-1-112(a)(2)(J). Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Tennessee Department of Commerce and Insurance.

  - **Details #53:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Administrative Order No. CA-2024-0032

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** The Alabama Securities Commission

    - **Action Description:** Pursuant to Section 8-6-3(j)(10) of Title 8, Chapter 6, Code of Alabama, The Alabama Securities Commission alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Alabama Securities Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of Section 8-6-3(j)(10) of Title 8, Chapter 6, Code of Alabama. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Alabama Securities Commission.

  - **Details #54:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2023-AH-0022

    - **Action Date:** 12/27/2024

    - **Court/Body Name and Location:** Kentucky Department of Financial Institutions

    - **Action Description:** Pursuant to Chapter 808 KAR 10:030, section 4(1) of the Kentucky Revised Statutes, the Kentucky Department of Financial Institutions alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Kentucky Department of Financial Institutions found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 808 KAR 10:030, section 4(1) of the Kentucky Revised Statutes. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the Kentucky State Treasurer.

  - **Details #55:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** OFI-2023-03

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** Louisiana Office of Financial Institutions

    - **Action Description:** Pursuant to 51:704(A)(9) of the Louisiana Securities Law (LSL), the Louisiana Office of Financial Institutions alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Louisiana Office of Financial Institutions found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of 51:704(A)(9) of the Louisiana Securities Law. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 payable to the State of Louisiana Office of Financial Institutions.

  - **Details #56:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. MS-23-7-10

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** State of New Mexico Regulation and Licensing Department Securities Division

    - **Action Description:** Pursuant to 12.11.4.10 NMAC, the Securities Division of the New Mexico Regulation and Licensing Department (the "Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of 12.11.4.10 NMAC of the New Mexico Securities Law. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Division.

  - **Details #57:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No.: SD-23-0031

    - **Action Date:** 01/16/2025

    - **Court/Body Name and Location:** State of Utah Department of Commerce Division of Securities

    - **Action Description:** Pursuant to section 61-1-6(2)(a)(ii)(J) of the Utah Uniform Securities Act ("Act"), the Utah Division of Securities ("Division") alleged that, during the period of approximately July 1, 2016 to June 3, 2018, (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Division found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of section 61-1-6(2)(a)(ii)(J) of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Division.

  - **Details #58:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET NO. S-21347A-25-0005

    - **Action Date:** 02/19/2025

    - **Court/Body Name and Location:** The Arizona Corporation Commission

    - **Action Description:** Pursuant to A.R.S. sections 44-1961(A)(12) and (B)(1) and 44-2036, the State Of Arizona's Corporation Commission alleged that, during the period of approximately July 1, 2016 to June 3, 2018 (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Arizona Corporation Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted a violation of A.R.S. sections 44-1961(A)(12) and (B)(1) and 44-2036. Without admitting or denying the Findings of Fact or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the State of Arizona.

  - **Details #59:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. SEC-2024-00016

    - **Action Date:** 02/18/2025

    - **Court/Body Name and Location:** Commonwealth of Virginia State Corporation Commission

    - **Action Description:** Pursuant to 21 VAC-5-20-260 of the Virginia Securities Act (the "Act"), the Virginia State Corporation Commission (the "Commission") alleged that, during the period of approximately July 1, 2016 to June 3, 2018 (the "Investigation Period"), Edward Jones' procedures were not reasonably designed with respect to the sale of certain Class A share mutual funds relative to the fee offsets provided when certain brokerage customers holding those securities engaged Edward Jones to serve as their investment adviser and manage those assets.

    - **Disposition:** The Commission found that Edward Jones did not have reasonably designed procedures with respect to its activities as a broker-dealer during the Investigation Period that would have detected the conduct alleged, which constituted as a violation of 21 VAC-5-20-260 of the Act. Without admitting or denying the Findings of Facts or Conclusions of Law set forth in the Consent Order, Edward Jones agreed to pay an administrative monetary fine of $320,754.72 to the Treasurer of Virginia.

  - **Details #60:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** No. 25A-006-INS

    - **Action Date:** 04/09/2025

    - **Court/Body Name and Location:** The Arizona Department of Insurance and Financial Institutions

    - **Action Description:** The Arizona Department of Insurance and Financial Institutions ("Department") alleged Edward Jones violated an insurance law and was liable for a civil penalty under Arizona Revised Statutes Section 20-295(A)(2) in connection with its failure to forward beneficiary change forms to a client's insurance companies. Edward Jones did not contest that it failed to forward two annuity beneficiary change forms to its client's insurance companies. The Department found that failure to "demonstrate[] incompetence in the conduct of business" under Arizona Revised Statutes Section 20-295(A)(8). Therefore, pursuant to Section (A)(2), the Department imposed a civil penalty of $250.00 for each form, for a total of $500.00.

    - **Disposition:** On April 9, 2025, Edward Jones entered into Consent Order with the Department to resolve this matter. Edward Jones paid the $500.00 civil penalty on April 2, 2025.

  - **Details #61:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 2025-0191

    - **Action Date:** 06/04/2025

    - **Court/Body Name and Location:** Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association ("NASAA"), the Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts ("Division") alleged that, during the period of approximately May 1, 2020 to April 30, 2025 ("Time Period"), Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Mass. Gen. Laws c. 110A, Section 204(a)(2)(J).

    - **Disposition:** On June 4, 2025, Edward Jones entered into a Consent Order with the Division to resolve this matter and, without admitting or denying the statement of facts or violations of law, agreed to the imposition of a censure, to cease and desist from conduct in violation of the Massachusetts Securities Act and the Regulations thereunder, to provide restitution to affected Massachusetts customers in an amount no less than $114,782, to pay a $100,000 administrative fine, to pay $25,000 in investigation costs, and to comply with certain undertakings. The administrative fine and investigation costs were paid on June 17, 2025, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #62:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ASD File #96200

    - **Action Date:** 09/03/2025

    - **Court/Body Name and Location:** NORTH CAROLINA DEPARTMENT OF INSURANCE

    - **Action Description:** THE NORTH CAROLINA DEPARTMENT OF INSURANCE ALLEGED, PURSUANT TO NORTH CAROLINA GENERAL STATUTE SECTION 58-33-32(K), THAT EDWARD JONES FAILED TO TIMELY REPORT ADMINISTRATIVE ACTIONS TAKEN WITH RESPECT TO ITS LICENSE WITHIN 30 DAYS AFTER DISPOSITION OF MATTERS WITH STATE AND TERRITORY REGULATORS FOLLOWING AN INVESTIGATION COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN ADMINISTRATORS ASSOCIATION (NASAA) OF ITS CONDUCT.

    - **Disposition:** PURSUANT TO A VOLUNTARY SETTLEMENT AGREEMENT, EDWARD JONES AGREED TO PAY CIVIL PENALTY OF $5,500.00 TO THE NORTH CAROLINA DEPARTMENT OF INSURANCE, WHICH WAS PAID SEPTEMBER 3, 2025.

  - **Details #63:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. S-25-0038

    - **Action Date:** 09/04/2025

    - **Court/Body Name and Location:** STATE OF OREGON DEPARTMENT OF CONSUMER AND BUSINESS SERVICES DIVISION OF FINANCIAL REGULATION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Director of the Department of Consumer and Business Services alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Oregon Revised Statutes 59.205(13) and Oregon Administrative Rule 441-205-0210(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Oregon Revised Statutes 59.205(13) and Oregon Administrative Rule 441-205-0210(1), to provide restitution to affected Oregon customers in an amount no less than $203,494.79, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine was paid on September 17, 2025, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #64:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CASE NO.: 25-0060

    - **Action Date:** 10/03/2025

    - **Court/Body Name and Location:** WEST VIRGINIA SECURITIES COMMISSION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the West Virginia Securities Commission alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of West Virginia Uniform Securities Act, W. Va. Code Section 32-2-204(a)(2)(J).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of W. Va. Code Section 32-2-204(a)(2)(J), to provide restitution to affected West Virginia customers in an amount no less than $58,901.77, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #65:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. 250026 (SEC-ORD)

    - **Action Date:** 09/05/2025

    - **Court/Body Name and Location:** COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Department of Banking and Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of the Pennsylvania Securities Act, 70 P.S. Section 1-305(a)(vii).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 70 P.S. Section 1-305(a)(vii), to provide restitution to affected Pennsylvania customers in an amount no less than $241,040.51, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #66:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DIVISION ORDER NO: 25-014

    - **Action Date:** 09/25/2025

    - **Court/Body Name and Location:** OHIO DIVISION OF SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Ohio Division of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Ohio Revised Code 1707.19(A)(1)(i).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Ohio Revised Code 1707.19(A)(1)(i), to provide restitution to affected Ohio customers in an amount no less than $506,326.10, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #67:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ADMINISTRATIVE CONSENT ORDER

    - **Action Date:** 10/09/2025

    - **Court/Body Name and Location:** THE SOUTH DAKOTA DIVISION OF INSURANCE

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, The South Dakota Division of Insurance alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of SDCL 47-31B-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of SDCL 47-31B-412(d)(9), to provide restitution to affected South Dakota customers in an amount no less than $51,621.51, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #68:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** No. CO-25-202525-S

    - **Action Date:** 10/08/2025

    - **Court/Body Name and Location:** Connecticut Banking Commissioner

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Banking Commissioner alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 36b-31-6f(b) of the Regulations of Connecticut State Agencies promulgated under the Connecticut Uniform Securities Act ("Regulations").

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 36b-31-6f(b) of the Regulations, to provide restitution to affected Connecticut customers in an amount no less than $72,702.37, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #69:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ODS FILE 25-232

    - **Action Date:** 10/08/2025

    - **Court/Body Name and Location:** OKLAHOMA DEPARTMENT OF SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Oklahoma Department of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 1-411(d)(9) of the Oklahoma Uniform Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of the Oklahoma Uniform Securities Act and the Rules thereunder, to provide restitution to affected Oklahoma customers in an amount no less than $238,568.91, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #70:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DOCKET NO. 25-018-S

    - **Action Date:** 10/09/2025

    - **Court/Body Name and Location:** Vermont Department of Financial Regulation

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Vermont Department of Financial Regulation alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Vermont Securities Regulation Section 2-2(b)(2).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Vermont Securities Regulation Section 2-2(b)(2), to provide restitution to affected Vermont customers in an amount no less than $33,919.48, to pay an administrative fine in the amount of $85,000, to contribute $15,000 to the Vermont Financial Services Education and Victim Restitution Special Fund, and to comply with certain undertakings. The administrative fine, the contribution, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #71:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ORDER NO. S-25-0017-25-OR01

    - **Action Date:** 10/13/2025

    - **Court/Body Name and Location:** ARKANSAS SECURITIES COMMISSIONER

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Arkansas Securities Commissioner alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Ark. Code Ann. Section 23-42-301(f)(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Ark. Code Ann. Section 23-42-301(f)(1), to provide restitution to affected Arkansas customers in an amount no less than $170,530.58, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #72:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Case No. MS 25-07-10-2

    - **Action Date:** 10/14/2025

    - **Court/Body Name and Location:** Securities Division of the New Mexico Regulation and Licensing Department

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Director of the Securities Division of the New Mexico Regulation and Licensing Department alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of the New Mexico Uniform Securities Act 1978 ("Act") Section 58-13C-412(C)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of the Act and the rules promulgated thereunder, to provide restitution to affected New Mexico customers in an amount no less than $75,472.63, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #73:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Cause No. 25-0009 CA

    - **Action Date:** 10/08/2025

    - **Court/Body Name and Location:** INDIANA SECRETARY OF STATE, SECURITIES DIVISION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Indiana Securities Division and Indiana Securities Commissioner alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of I.C. Section 23-19-4-12(d)(9) and 710 Section IAC 4-7-6(d).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of I.C. Sections 23-19-4-12(d)(9) and IAC Sections 4-7-6(d), to provide restitution to affected Indiana customers in an amount no less than $431,170.81, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #74:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket No. SD-25-00-16

    - **Action Date:** 10/23/2025

    - **Court/Body Name and Location:** UTAH DIVISION OF SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Utah Division of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of the Utah Uniform Securities Act Section 61-1-6(2)(a)(ii)(J).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Utah Uniform Securities Act Section 61-1-6(2)(a)(ii)(J), to provide restitution to affected Indiana customers in an amount no less than $58,049.54, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #75:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CO-2025-0029

    - **Action Date:** 11/17/2025

    - **Court/Body Name and Location:** ALABAMA SECURITIES COMMISSION

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Alabama Securities Commission alleged that, during the period of approximately May 1, 2020 to April 30, 2025 , Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Rule 830-X-3-.13(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Rule 830-X-3-.13(1), to provide restitution to affected Alabama customers in an amount no less than $148,037.42, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine, investigation costs and restitution will be paid in accordance with the terms of the consent order.

  - **Details #76:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ORDER NO. 25-61-S

    - **Action Date:** 10/27/2025

    - **Court/Body Name and Location:** THE ALASKA DEPARTMENT OF COMMERCE, COMMUNITY, AND ECONOMIC DEVELOPMENT DIVISION OF BANKING AND SECURITIES

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Department of Commerce, Community, and Economic Development, Division of Banking and Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Alaska Statute 45.56.440(d)(9) of the Alaska Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Alaska Statute 45.56.440(d)(9), to provide restitution to affected Alaska customers in an amount no less than $28,642.40, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #77:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Administrative Consent Order

    - **Action Date:** 11/19/2025

    - **Court/Body Name and Location:** Delaware Department of Justice, Investor Protection Unit

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, The Director of the Investor Protection Unit of the Delaware Department of Justice alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Delaware Securities Act, 6 Del. C. Section 73-304(a)(10).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 6 Del. C. Section 73-304(a)(10), to provide restitution to affected Delaware customers in an amount no less than $30,736.41, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #78:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEB20250011

    - **Action Date:** 11/17/2025

    - **Court/Body Name and Location:** STATE OF HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Securities of the State of Hawaii alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Hawaii Revised Statutes ("HRS") 485A-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of HRS 485A-412(d)(9), to provide restitution to affected Hawaii customers in an amount no less than $37,407.62, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #79:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SB-2025-105

    - **Action Date:** 11/14/2025

    - **Court/Body Name and Location:** THE IDAHO DEPARTMENT OF FINANCE

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, The Director of the Idaho Department of Finance alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Idaho Code ("I.C.") Section 30-14-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of I.C. Section 30-14-412(d)(9), to provide restitution to affected Idaho customers in an amount no less than $89,909.43, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #80:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Administrative Consent Order

    - **Action Date:** 11/17/2025

    - **Court/Body Name and Location:** State of Minnesota Department of Commerce

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Minnesota Commissioner of Commerce alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Minnesota Statute Section 80A.67(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Minnesota Statute Section 80A.67(d)(9), to provide restitution to affected Minnesota customers in an amount no less than $261,074.01, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #81:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** SEC-2025-58A

    - **Action Date:** 11/18/2025

    - **Court/Body Name and Location:** COMMISSIONER OF SECURITIES AND INSURANCE, OFFICE OF THE MONTANA STATE AUDITOR

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Securities and Insurance, Montana State Auditor's Office alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Montana Code Annotated ("MCA") Section 30-10-201(13)(k).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of MCA Section 30-10-201(13)(k), to provide restitution to affected Montana customers in an amount no less than $67,601.53, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine, investigation costs and restitution will be paid in accordance with the terms of the consent order.

  - **Details #82:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FINDINGS OF FACT CONCLUSIONS OF LAW AND CONSENT ORDER

    - **Action Date:** 11/14/2025

    - **Court/Body Name and Location:** NEBRASKA DEPARTMENT OF BANKING AND FINANCE

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Nebraska Department of Banking and Finance alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 8-1103(9)(a)(xi) of the Securities Act of Nebraska (the "Act").

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 8-1103(9)(a)(xi) of the Act, to provide restitution to affected Nebraska customers in an amount no less than $134,041.05, to pay an administrative fine in the amount of $10,000, investigation costs in the amount of $15,000 and $75,000 as settlement. The administrative fine, investigation costs, settlement, and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #83:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** I-2025000054

    - **Action Date:** 11/14/2025

    - **Court/Body Name and Location:** New Hampshire Department of State Bureau of Securities Regulation

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the New Hampshire Department of State Bureau of Securities Regulation alleged that, during the period of approximately May 1, 2020 to April 30, 2025 (the "Time Period"), Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of RSA Section 421-B:4-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of New Hampshire Uniform Securities Act RSA Section 421-B:4-412(d)(9), to provide restitution to affected New Hampshire customers in an amount no less than $63,079.49, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and restitution will be paid in accordance with the terms of the consent order.

  - **Details #84:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** AP-25-08

    - **Action Date:** 12/15/2025

    - **Court/Body Name and Location:** Enforcement Section of the Missouri Securities Division of the Office of the Secretary of State

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association ("NASAA"), the Enforcement Section of the Missouri Securities Division of the Office of the Secretary of State (the "Enforcement Section") alleged that, during the period of approximately May 1, 2020 to April 30, 2025 (the "Time Period"), Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of 15 CSR 30-51.171(2)(A).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 15 CSR 30-51.171(2)(A), to provide restitution to affected Missouri customers in an amount no less than $526,569.72, to pay a monetary fine in the amount of $125,000 (the amount paid includes an administrative fine in the amount of $100,000, and investigation costs in the amount of $25,000), and to comply with certain undertakings. The monetary fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #85:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** LID-25-CAF-01

    - **Action Date:** 12/19/2025

    - **Court/Body Name and Location:** Texas State Securities Board

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Texas State Securities Board alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of section 115.10(a) of the Texas State Securities Board Rules ("Board Rules") promulgated under the Texas Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of section 115.10(a) of the Board Rules, to provide restitution to affected Texas customers in an amount no less than $1,074,395.63, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #86:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Consent Order

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** State of California Department of Financial Protection and Innovation

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Financial Protection and Innovation alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of California Corporations Code section 25218 and California Code of Regulations, title 10, section 260.218.4.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of California Corporations Code section 25218 and California Code of Regulations, title 10, section 260.218.4, to provide restitution to affected California customers in an amount no less than $520,434.51, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #87:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No: SB-CO-06-25

    - **Action Date:** 03/26/2026

    - **Court/Body Name and Location:** District of Columbia Department of Insurance, Securities and Banking

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the District of Columbia Department of Insurance, Securities and Banking alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of D.C. Official Code Section 31-5602.07(a)(12).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of D.C. Official Code Section 31-5602.07(a)(12), to provide restitution to affected District of Columbia customers in an amount no less than $8,783.59, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #88:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** ENSC-251262

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** Commissioner of Securities for the State of Georgia

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of Securities for the State of Georgia alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Ga. Comp. R. & Regs. R. 590-4-5-.12(1) and O.C.G.A. Section 10-5-41(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Ga. Comp. R. & Regs. R. 590-4-5-.12(1) and O.C.G.A. Section 10-5-41(d)(9), to provide restitution to affected Georgia customers in an amount no less than $384,825.28, to pay an administrative fine in the amount of $100,000 of which $20,000 will be retained for the cost of the investigation, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #89:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No.: 2500298

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** Illinois Secretary of State Securities Department

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Illinois Secretary of State Securities Department alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 8.E.1.e.iv of the Illinois Securities Law.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 8.E.1.e.iv of the Illinois Securities Law, to provide restitution to affected Illinois customers in an amount no less than $654,428.95, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #90:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** LS-25-8149

    - **Action Date:** 02/20/2026

    - **Court/Body Name and Location:** Mississippi Secretary of State Securities Division

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Secretary of State of the State of Mississippi alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Mississippi Code Annotated Section 75-71-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Miss Code Ann. Section 75-71-412(d)(9), to provide restitution to affected Mississippi customers in an amount no less than $82,132.41, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #91:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. INV25-163

    - **Action Date:** 04/01/2026

    - **Court/Body Name and Location:** Securities Division of the Office of the Nevada Secretary of State

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Securities Division of the Office of the Nevada Secretary of State alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of NRS 90.420(1)(1) of the Nevada Uniform Securities Act.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of NRS 90.420(1)(1), to provide restitution to affected Nevada customers in an amount no less than $66,759.57, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #92:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Consent Order

    - **Action Date:** 02/24/2026

    - **Court/Body Name and Location:** Puerto Rico Office of the Commissioner of Financial Institutions

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Commissioner of the Puerto Rico Office of the Commissioner of Financial Institutions alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Section 204(a)(2)(J) of the Puerto Rico Uniform Securities Act ("PRUSA").

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Section 204(a)(2)(J) of the PRUSA, to provide restitution to affected Puerto Rico customers in an amount no less than $489.48, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #93:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. 20252027

    - **Action Date:** 02/25/2026

    - **Court/Body Name and Location:** Securities Commissioner of South Carolina

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Securities Commissioner of South Carolina alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of S.C. Code Ann. Section 35-1-412(d)(9).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of S.C. Code Ann. Section 35-1-412(d)(9), to provide restitution to affected South Carolina customers in an amount no less than $321,397.88, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #94:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** DFI Case No. S-251169 (LX)

    - **Action Date:** 03/04/2026

    - **Court/Body Name and Location:** Wisconsin Department of Financial Institutions Division of Securities

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Wisconsin Division of Securities alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Wis. Admin. Code Section DFI-Sec 4.05(2).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Wis. Admin. Code Section DFI-Sec 4.05(2), to provide restitution to affected Wisconsin customers in an amount no less than $334,797.49, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #95:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 2025-DFI-0145

    - **Action Date:** 04/13/2026

    - **Court/Body Name and Location:** Kentucky Department of Financial Institutions

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Kentucky Department of Financial Institutions alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of 808 Kentucky Administrative Regulations ("KAR") 10:030, Sections 3 and 4(1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of 808 KAR 10:030, Sections 3 and 4(1), to provide restitution to affected Kentucky customers in an amount no less than $181,263.55, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #96:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Matter No. OFI-2025-02

    - **Action Date:** 04/09/2026

    - **Court/Body Name and Location:** Louisiana Office of Financial Institutions

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Louisiana Office of Financial Institutions alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of Louisiana Securities Law Section 51:704(A)(9) and Louisiana Administrative Code 10:XIII.1901.

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of Louisiana Securities Law Section 51:704(A)(9) and Louisiana Administrative Code 10:XIII.1901, to provide restitution to affected Louisiana customers in an amount no less than $180,147.98, to pay an administrative fine in the amount of $100,000, and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #97:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** FINAL ORDER 25ADM002

    - **Action Date:** 05/12/2026

    - **Court/Body Name and Location:** North Carolina Department of the Secretary of State, Securities Division

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the North Carolina Department of the Secretary of State, Securities Division alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of N.C. Gen. Stat. Section 78A-39(a1).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of N.C. Gen. Stat. Section 78A-39(a1), to provide restitution to affected North Carolina customers in an amount no less than $579,290.41, to pay a monetary fine in the amount of $100,000 (the amount paid includes a civil penalty of $10,000, and investigation costs in the amount of $90,000), and to comply with certain undertakings. The administrative fine and the restitution will be paid in accordance with the terms of the consent order.

  - **Details #98:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Order No. S-25-3996-25-CO01

    - **Action Date:** 05/05/2026

    - **Court/Body Name and Location:** Washington State Department of Financial Institutions, Securities Division

    - **Action Description:** In connection with an investigation conducted by a multistate task force coordinated among certain members of the North American Securities Administrators Association, the Washington State Department of Financial Institutions Securities Division alleged that, during the period of approximately May 1, 2020 to April 30, 2025, Edward D. Jones & Co., L.P. ("Edward Jones") failed to ensure certain transactions were executed at a fair and reasonable price and did not reasonably supervise certain small principal equity transactions that included minimum commission charges to ensure Edward Jones charged its customers a reasonable commission, in violation of WAC 460-20C-150(1)(e).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones agreed to the imposition of a censure, to cease and desist from conduct in violation of WAC 460-20C-150(1)(e), to provide restitution to affected Washington customers in an amount no less than $361,844.96, to pay an administrative fine in the amount of $100,000, to pay investigation costs in the amount of $25,000, and to comply with certain undertakings. The administrative fine, investigation costs, and restitution will be paid in accordance with the terms of the consent order.

- **Federal/State agency denied, suspended, or revoked registration?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 8704-2

    - **Action Date:** 02/01/1988

    - **Court/Body Name and Location:** Pennsylvania Securities Commissioner

    - **Action Description:** See item 10(d)(2) above.

    - **Disposition:** See item 10(d)(2) above.

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Hearing Panel Decision No. 04-194

    - **Action Date:** 12/23/2003

    - **Court/Body Name and Location:** The New York Stock Exchange (NYSE)

    - **Action Description:** AN EXCHANGE PANEL MET TO CONSIDER A STIPULATION OF FACTS AND CONSENT TO PENALTY ENTERED INTO BETWEEN THE EXCHANGE'S DIVISION OF ENFORCEMENT AND EDWARD JONES ("THE FIRM"). WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTED TO A FINDING BY THE HEARING PANEL THAT IT: I. VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT [15 U.S.C. Sections 77Q (A)(2)] II. VIOLATED SECTION 10B-10 OF THE EXCHANGE ACT [17 C.F.R.Section 240.10B-10] III. ENGAGED IN CONDUCT INCONSISTENT WITH PRINCIPLES OF TRADE IN VIOLATION OF EXCHANGE RULE 476(A)(6) IV. VIOLATED EXCHANGE RULE 401 IN FAILING TO USE THE PRINCIPLES OF GOOD BUSINESS PRACTICE IN THE CONDUCT OF ITS BUSINESS AFFAIRS; V. VIOLATED EXCHANGE RULE 342 BY FAILING TO: A. REVIEW PROSPECTUSES AND SAIS OFFERED BY CERTAIN MUTUAL FUND FAMILIES TO DETERMINE IF ADEQUATE DISCLOSURES OF REVENUE SHARING, DIRECTED BROKERAGE PAYMENTS OR OTHER INCENTIVES WERE MADE. B. REASONABLY SUPERVISE ITS BUSINESS ACTIVITIES, AND ESTABLISH AND MAINTAIN APPROPRIATE PROCEDURES FOR SUPERVISION WITH RESPECT TO LATE TRADING OF MUTUAL FUNDS. VI. VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND SEC RULES 17A-4 AND EXCHANGE RULE 440 BY FAILING TO PRESERVE FOR 3 YEARS AND/OR PRESERVE IN AN EASILY ACCESSIBLE PLACE FOR 2 YEARS, RECORDS OF ELECTRONIC COMMUNICATION IN VIEW OF THE ABOVE FINDINGS, THE HEARING PANEL, BY UNANIMOUS VOTE, IMPOSED THE PENALTY CONSENTED TO BY THE FIRM AS SET FORTH BELOW: THE IMPOSITION BY THE EXCHANGE, THE SECURITIES EXCHANGE COMMISSION ("SEC") AND NATIONAL ASSOCIATION OF SECURITIES DEALERS ("NASD") IMPOSED A SANCTION OF A CENSURE AND PAYMENT OF $75 MILLION, AS FOLLOWS 1. $37.5 MILLION AS A PENALTY; AND 2. $37.5 MILLION AS DISGORGEMENT THAT WILL BE PLACED INTO A CUSTOMER REIMBURSEMENT FUND TO COMPENSATE CUSTOMERS HARMED BY THE FIRM'S VIOLATIVE CONDUCT. 3. PURSUANT TO SECTION 308(A) OF THE SARBANES-OXLEY ACT OF 2002, A FAIR FUND WAS ESTABLISHED FOR THE FUNDS DESCRIBED.

    - **Disposition:** Monetary/Fine $75,000,000; and Censure.

  - **Details #2:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. CAF040115

    - **Action Date:** 10/23/2003

    - **Court/Body Name and Location:** National Association of Securities Dealers, Inc. (NASD)

    - **Action Description:** NASD alleged Edward Jones (a) failed to disclose its financial incentives to sell mutual funds from the preferred families on its website and other written documentation, and orally to clients, (b) failed to disclose on its website or any other written documentation any incentives to sell 529 Plans, and (c) willfully violated Section 17(A)(2) of the Securities Act, Rules 10B-10 under the Exchange Act, Section 15B(C)(1) of the Exchange Act, and contravened the dictates of MSRB Rule G-15. NASD deemed it appropriate to (a) censure Edward Jones, (b) order Edward Jones to cease and desist from committing any violations of Section 17(A)(2) of the Securities Act, Section 15B(C)(1) of the Exchange Act, Rules 10B- 10 and MSRB Rule G-15, and (c) order Edward Jones to pay a total of $37.5 million for disgorgement plus prejudgment interest and a $37.5 million as a civil monetary penalty, for a total of $75 million. The NASD further ordered Edward Jones to (i) place and maintain on its mutual fund portion of its public website specific disclosures regarding its preferred mutual fund family program ("Program"), (ii) place and maintain specific disclosures regarding 529 Plans of its Program on its public website, (iii) send information about these disclosure to its new clients for its mutual fund and 529 transaction and then to its clients on a quarterly basis, (iv) establish policies and procedures to conduct reviews of all prospectuses and SAIS, (v) place on its public website Edward Jones' policies and procedures regarding the adding or removing of mutual fund families from its preferred list, (vi) retain an independent consultant ("IC") to review these policies and procedures and its distribution plan, (vii) have the IC submit a report to the NASD'S staff about its review of Edward Jones' policies and procedures and distribution plan, (viii) report to the NASD'S staff about the recommendations that it will adopt, and (ix) have the IC submit a final report to Edward Jones and the NASD staff.

    - **Disposition:** Monetary/Fine $300,000; and Censure.

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 2006006054601

    - **Action Date:** 08/11/2006

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority (FINRA)

    - **Action Description:** FINRA ALLEGED THAT PURSUANT TO PROVISIONS OF NASD RULE 6230(A), EDWARD D. JONES & CO., L.P. FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE APPLICANT CONSENTED TO THE TO THE ENTRY OF FINDINGS, CENSURE AND FINE OF $10,000.

    - **Disposition:** Monetary/Fine $10,000.

  - **Details #2:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. EAF0401100001

    - **Action Date:** 01/01/2002

    - **Court/Body Name and Location:** NASD

    - **Action Description:** PURSUANT TO NASD RULE 9216, EDWARD JONES ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") WHEREBY IT AGREED, WITHOUT ADMITTING OR DENYING THE FINDINGS OF THE NASD, TO THE ENTRY OF CERTAIN FINDINGS AND SANCTIONS IN CONNECTION WITH ITS HANDLING OF NET ASSET VALUE ("NAV") TRANSFER PROGRAMS OFFERED BY CERTAIN MUTUAL FUNDS DURING THE PERIOD JANUARY 1, 2002, THROUGH DECEMBER 31, 2004. DURING THIS PERIOD, THE PROSPECTUSES OF SEVERAL MUTUAL FUND COMPANIES PROVIDED THAT UNDER CERTAIN CIRCUMSTANCES INVESTORS WERE ELIGIBLE TO PURCHASE SHARES AT NET ASSET VALUE (I.E., WITHOUT ANY DEDUCTION FOR A SALES LOAD) IF THEY WERE MAKING THE PURCHASE WITH PROCEEDS FROM THE REDEMPTION OF THE SHARES OF ANOTHER FUND FAMILY AND THAT REDEMPTION HAD TAKEN PLACE WITHIN A SPECIFIED PERIOD OF TIME OF THE PURCHASE, E.G., 30 OR 60 OR 90 DAYS. THE NASD ALLEGED THAT EDWARD JONES FAILED TO PROVIDE ALL INVESTORS THE OPPORTUNITY TO PURCHASE CLASS A SHARES OF CERTAIN MUTUAL FUNDS AT NET ASSET VALUE PURSUANT TO THE TERMS OF THEIR NAV TRANSFER PROGRAMS. THE NASD FURTHER ALLEGED THAT EDWARD JONES FAILED TO EXERCISE REASONABLE DUE DILIGENCE TO IDENTIFY THE ESSENTIAL TERMS AND CONDITIONS OF ALL NAV TRANSFER PROGRAMS OFFERED BY THE MUTUAL FUNDS THAT IT SOLD AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SYSTEM AND PROCEDURES TO ENSURE THAT ALL OF ITS CUSTOMERS RECEIVED NET ASSET VALUE PRICING WHEN APPROPRIATE. EDWARD JONES WAS CENSURED; FINED $250,000; AND AGREED TO PROVIDE REMEDIATION PAYMENTS TO INVESTORS IN AN AMOUNT TO BE DETERMINED BUT ESTIMATED TO BE APPROXIMATELY $25,000,000. SUCH REMEDIATION INCLUDED, IN APPROPRIATE CASES, 1) A REFUND OF AMOUNTS PAID AS A SALES CHARGE, 2) A CASH PAYMENT EQUAL TO AN AMOUNT NECESSARY TO PLACE THE CLIENT IN A FINANCIAL POSITION EQUIVALENT TO WHAT HE OR SHE WOULD HAVE BEEN IN IF THE RELEVANT TRANSACTIONS HAD TAKEN PLACE AT NET ASSET VALUE, AND 3) INTEREST ON THOSE AMOUNTS.

    - **Disposition:** Monetary/Fine $250,000; and Censure.

  - **Details #3:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. ENF SEA #2005-22

    - **Action Date:** 09/27/2005

    - **Court/Body Name and Location:** NASD, District No. 3 Seattle

    - **Action Description:** THE NASD ALLEGED THAT IN CONNECTION WITH TRANSACTIONS WHICH INVOLVED THE SALES OF MUNICIPAL SECURITIES BY CUSTOMERS DURING THE PERIOD FROM JANUARY 2003 UNTIL APRIL 2004, THE FIRM FAILED TO ENSURE THAT CONFIRMATIONS ISSUED INCLUDED YIELD TO MATURITY INFORMATION AS REQUIRED BY MSRB G-15(A)(I)(A)(5); THAT DURING THE PERIOD FROM MAY 1995 UNTIL APRIL 2004, THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, DESIGNED TO ENSURE THAT CONFIRMATIONS ISSUED FOR CUSTOMER TRANSACTIONS IN MUNICIPAL SECURITIES DISCLOSED INFORMATION REGARDING THOSE TRANSACTIONS AS REQUIRED BY MSRB RULE G-15; AND THAT THESE CONSTITUTED A VIOLATION OF MSRB RULE G-27(C). EDWARD JONES ACCEPTED AND CONSENTED TO, WITHOUT ADMITTING OR DENYING GUILT, A SETTLEMENT WHICH INCLUDED CENSURE AND A FINE OF $300,000; AGREED TO DEVISE AND IMPLEMENT A POLICY AND SET OF PROCEDURES IN ENSURE THE FIRM'S CONFIRMATIONS ISSUED IN CONNECTION WITH TRANSACTIONS IN MUNICIPAL SECURITIES CONTAIN ALL DISCLOSURES REQUIRED BY MSRB RULE G-15; AND AGREED THAT FOR A PERIOD OF TWO YEARS THE FIRM WILL PROVIDE TO THE NASD'S SEATTLE DISTRICT OFFICE A WRITTEN CERTIFICATION THAT IT HAS REVIEWED ITS CONFIRMATION DISCLOSURES AND THAT THEY CONFORM TO THE REQUIREMENTS OF MSRB RULE G-15.

    - **Disposition:** Monetary/Fine $300,000; and Censure.

  - **Details #4:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Hearing Panel Decision No. 04-194

    - **Action Date:** 12/23/2003

    - **Court/Body Name and Location:** NYSE

    - **Action Description:** See item 10(e)(1) above.

    - **Disposition:** See item 10(e)(1) above.

  - **Details #5:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. CAF040115

    - **Action Date:** 10/23/2003

    - **Court/Body Name and Location:** NASD

    - **Action Description:** See item 10(e)(1) above.

    - **Disposition:** See item 10(e)(1) above.

  - **Details #6:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. CAF040097

    - **Action Date:** 11/30/2004

    - **Court/Body Name and Location:** NASD

    - **Action Description:** PURSUANT TO ARTICLE V, SECTIONS 2(C) AND 3(B)OF NASD'S BY-LAWS, AND NASD RULES 2110 AND 3010, THE NASD ALLEGED THAT THAT EDWARD JONES FILED AT LEAST 280 LATE AMENDMENTS TO FORMS U4 AND U5, WHICH REPRESENTED APPROXIMATELY 27% OF THE REQUIRED AMEMDMENTS RELATING TO REPORTABLE CUSTOMER COMPLAINTS, TERMINATIONS, REGULATORY ACTIONS, AND CRIMINAL DISCLOSURES. DURING THE RELEVANT PERIOD, EDWARD JONES' SUPERVISORY SYSTEM AND PROCEDURES WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS ARTICLE V REPORTING OBLIGATIONS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, EDWARD JONES CONSENTS TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, IT HAS ACCEPTED THE CENSURE AND FINE OF $300,000, WHICH SHALL BE PAID WITHIN 10 DAYS OF NOTICE OF THIS AWC. IN ADDITION EDWARD JONES SHALL COMPLY WITH THE FOLLOWING UNDERTAKINGS: (1) PROMPTLY,THE FIRM'S INTERNAL AUDIT DEPARTMENT OR PERSONNEL NOT DIRECTLY RESPONSIBLE FOR THE FIRM'S ARTICLE V REPORTING OBLIGATIONS AND THEIR IMMEDIATE SUPERVISORS SHALL CONDUCT AN AUDIT TO ACCESS THE EFFECTIVENESS OF ITS SYSTEM AND PROCEDURES FOR ENSURING TIMELY FILING OF FORM U4 AND U5 AMENDMENTS SUMMARIZING FINDINGS AND RECOMMENDATIONS AND SHALL FOR THE NEXT FOUR CALENDAR QUARTERS BEGINNING FOURTH QUARTER 2004, CONDUCT A SIMILAR AUDIT AND PREPARE A SIMILAR WRITTEN AUDIT REPORT. (2) NO LATER THAN 90 DAYS AFTER NOTICE OF ACCEPTANCE OF THIS AWC, AN OFFICER OF THE FIRM SHALL CERTIFY TO THE NASD THAT AN AUDIT WAS CONDUCTED AND THE OFFICER HAS REVIEWED THE CURRENT AUDIT REPORT. (3) NO LATER THAN 60 DAYS AFTER THE DATE OF THE CURRENT AUDIT REPORT, AN OFFICER SHALL CERTIFY IN WRITING TO THE NASD THAT THE FIRM HAS IMPLEMENTED, OR HAS BEGUN TO IMPLEMENT, ANY RECOMMENDATIONS WITHIN A SPECIFIED TIME PERIOD. (4) NO LATER THAN 60 DAYS AFTER THE LAST DAY OF THE NEXT FOUR QUARTERS, AN OFFICER SHALL CERTIFY IN WRITING TO THE NASD THAT AN AUDIT WAS CONDUCTED, THE CURRENT AUDIT REPORT WAS REVIEWED, AND RECOMMENDATIONS IMPLEMENTED, OR BEGUN TO BE IMPLEMENTED. (5) NO LATER THAT SIX MONTHS AFTER NOTICE OF ACCEPTANCE OF THIS AWC, AN OFFICER SHALL CERTIFY IN WRITING TO THE NASD THAT THE FIRM HAS REVIEWED ITS SYSTEM AND PROCEDURES FOR COMPLYING WITH ITS ARTICLE V REPORTING OBLIGATIONS AND HAS ESTABLISHED A SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH REPORTING REQUIREMENTS SET FORTH THEREIN.

    - **Disposition:** Monetary/Fine $300,000; and Censure

  - **Details #7:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. C07040079-AWC

    - **Action Date:** 09/09/2004

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THAT EDWARD JONES VIOLATED NASD CONDUCT RULES 3010 AND 2110, BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO DETER AND PREVENT ITS REPRESENTATIVES FROM MAKING UNSUITABLE RECOMMENDATIONS INVOLVING THE USE OF MARGIN LOANS IN CLIENT ACCOUNTS AS A RESULT OF ITS BONUS PLAN. THE FIRM ACCEPTED AND CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS BY THE HEARING PANEL THAT IT VIOLATED NASD CONDUCT RULES 3010 AND 2110 AND CONSENT TO A CENSURE AND A FINE OF $200,000.

    - **Disposition:** Monetary/Fine $200,000; and Censure.

  - **Details #8:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. CMS040143-AWC

    - **Action Date:** 10/08/2003

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT IMPROPERLY INCLUDED ITS MARKUP/MARKDOWN IN 8,319 TRANSACTIONS THAT IT REPORTED TO TRACE. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS OF THE NASD, THE APPLICANT ACCEPTED AND CONSENTED TO THE CENSURE AND FINES PROVIDED IN THE ACCEPTANCE WAIVER AND CONSENT AGREEMENT.

    - **Disposition:** Monetary/Fine $15,000; and Censure.

  - **Details #9:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. C05040041

    - **Action Date:** 06/28/2004

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED VIOLATIONS PURSUANT TO PROVISIONS OF MSRB RULES G-17, G-30(A). EDWARD JONES RECEIVED REQUESTS FROM PUBLIC CUSTOMERS TO LIQUIDATE EIGHT DIFFERENT MUNICIPAL SECURITY POSITIONS. IN TURN, IT CONTACTED A BROKER'S BROKER OBTAINING BIDS FOR THE CUSTOMERS' SECURITIES. BASED ON THE BIDS PROVIDED, EDWARD JONES PURCHASED THE SECURITIES FROM THE CUSTOMERS FOR ITS OWN ACCOUNT AND SOLD THE SECURITIES TO THE BROKER'S BROKER AT A NOMINAL GAIN. IN ALL EIGHT INSTANCES, THE PRICES PAID TO THE CUSTOMERS AND RECIEVED BY THE FIRM BASED ON THESE BIDS WERE LATER DETERMINED TO BE BELOW THE ACTUAL FAIR MARKET VALUE FOR THE SECURITES IN AMOUNTS RANGING FROM 9.04% TO 36%. BY RELYING SOLELY ON THE BIDS PROVIDED, EDWARD JONES FAILED TO ENSURE THAT THE TRANSACTIONS WERE EXECUTED AT AGGREGATE PRICES THAT WERE FAIR AND REASONABLE. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, EDWARD JONES CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM WAS CENSURED, FINED $15,000, AND REQUIRED TO PAY $10,181.50, PLUS INTEREST IN RESTITUTION TO THE CUSTOMER. SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION SHALL BE PROVIDED TO NASD NO LATER THAN 90 DAYS AFTER ACCEPTANCE OF THE AWC. THE FIRM SHALL ALSO PROVIDE NASD, WITHIN 90 DAYS OF ACCEPTANCE OF THIS AWC, A COPY OF ITS UPDATED WRITTEN SUPERVISORY PROCEDURES AS THEY RELATE TO THE DETERMINATION OF THE FAIR MARKET VALUE OF MUNICIPAL SECURITIES BEING BOUGHT OR SOLD FROM A PUBLIC CUSTOMER.

    - **Disposition:** Monetary/Fine $15,000; and Censure.

  - **Details #10:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Hearing Panel Decision No. 04-32

    - **Action Date:** 12/30/2003

    - **Court/Body Name and Location:** NYSE

    - **Action Description:** THE NYSE ALLEGED THE APPLICANT VIOLATED PROVISIONS OF 1. EXCHANGE RULE 346(F), BY EMPLOYING INDIVIDUALS WHOM IT KNEW, OR IN THE EXERCISE OF REASONABLE CARE, SHOULD HAVE KNOWN, WERE SUBJECT TO STATUTORY DISQUALIFICATION. 2. EXCHANGE RULE 351(A)(9), BY FAILING TO PROMPTLY REPORT ITS ASSOCIATION WITH PERSONS SUBJECT TO STATUTORY DISQUALIFICATION. 3. EXCHANGE RULE 351 (A)(5), BY FAILING TO PROMPTLY REPORT AN EMPLOYEE'S ARREST OR CONVICTION TO THE EXCHANGE. 4. EXCHANGE RULE 342, BY FAILING TO PROVIDE FOR, ESTABLISH, AND MAINTAIN ADEQUATE PROCEDURES AND CONTROLS, INCLUDING A SYSTEM OF FOLLOW-UP AND REVIEW OF ITS BUSINESS ACTIVITIES, TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS RELATING TO EMPLOYMENT OF STATUTORY DISQUALIFIED INDIVIDUALS. WITHOUT ADMITTING OR DENYING GUILT, THE APPLICANT CONSENTS TO THE FINDINGS BY THE HEARING PANEL OF THE VIOLATIONS OUTLINED ABOVE. THE PANEL APPROVED THE EXECUTED STIPULATION OF FACTS AND CONSENT TO PENALTY OF THE IMPOSITION OF A CENSURE BY THE EXCHANGE AND A $100,000 FINE.

    - **Disposition:** Monetary/Fine $100,000; and Censure.

  - **Details #11:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. N-VS-218

    - **Action Date:** 08/10/1976

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT VIOLATED PROVISIONS OF SECTION IC3(D)(I) OF SCHEDULE D OF THE ASSOCIATION'S BYLAWS (NASDAQ VOLUME REPORTING). EDWARD JONES WAS FINED $25 BY THE NASDAQ COMMITTEE OF THE NASD PURSUANT TO A SUMMARY COMPLAINT PROCEDURE.

    - **Disposition:** Monetary/Fine $25.

  - **Details #12:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** N/A

    - **Action Date:** 05/19/1969

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT FAILED TO MAKE BONA FIDE PUBLIC OFFERINGS IN THE DISTRIBUTION OF 17 "HOT ISSUES" IN VIOLATION OF ARTICLE III, SECTION 1 "FREE-RIDING". THE NASD DISTRICT BUSINESS COMMITTEE CENSURED AND FINED THE APPLICANT $1000 AND ASSESSED COSTS OF $64.65.

    - **Disposition:** Monetary/Fine $1,000; and Censure.

  - **Details #13:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. SC:KC-30, District #4

    - **Action Date:** 05/19/1981

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT VIOLATED ITS RULE CONCERNING FREE-RIDING AND WITHHOLDING. EDWARD JONES AND A FINANCIAL REPRESENTATIVE WERE CENSURED AND FINED $250 BY THE NASD PURSUANT TO A SUMMARY COMPLAINT PROCEDURE.

    - **Disposition:** Monetary/Fine $250; and Censure.

  - **Details #14:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. E07980030 TC

    - **Action Date:** 01/12/2000

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT FAILED TO ESTABLISH AND MAINTAIN ADEQUATE WRITTEN SUPERVISORY PROCEDURES PERTAINING TO THE REVIEW AND MONITORING OF A CUSTOMER'S ACCOUNT ACTIVITY IN VIOLATION OF NASD CONDUCT RULE 3010 THEREBY PREVENTING UNSUITABLE RECOMMENDATIONS AND BOND TRADING ON MARGIN. WITHOUT ADMITTING TO OR DENYING ALLEGATIONS, EDWARD JONES AGREED TO PAY $5,000.

    - **Disposition:** Monetary/Fine $5,000.

  - **Details #15:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Hearing Panel Decision No. 00-187

    - **Action Date:** 02/02/2000

    - **Court/Body Name and Location:** NYSE

    - **Action Description:** THE NYSE ALLEGED THE APPLICANT FAILED TO REASONABLY SUPERVISE AND CONDUCTED TRANSACTIONS IN A MANNER INCONSISTENT WITH JUST AND EQUITABLE PRINCIPALS OF TRADE IN ITS DISTRIBUTION OF CALLABLE CDS; AND THAT IT VIOLATED NYSE RULE 472.40 RELATING TO INACCURATE CAPACITY DISCLOSURES IN RESEARCH REPORTS. APPLICANT AGREED TO CONDUCT AN ANNUAL REVIEW FOR THE NEXT FIVE YEARS OF MARKETING, TRAINING, AND DISCLOSURE MATERIALS RELATED TO LONG TERM CALLABLE CERTIFICATE OF DEPOSIT INVESTMENTS.

    - **Disposition:** Monetary/Fine $200,000; and Censure.

  - **Details #16:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. 92-133

    - **Action Date:** 12/27/1991

    - **Court/Body Name and Location:** NYSE

    - **Action Description:** IN A CHARGE MEMORANDUM FILED AGAINST THE APPLICANT AND A FINANCIAL ADVISOR, THE NYSE ALLEGED THAT IN THE APPLICANT'S SALE OF SECURITIES TO EIGHT CUSTOMERS, ITS CONDUCT CONSISTED OF UNSUITABILITY, LACK OF DIVERSIFICATION, MISSTATEMENTS, LACK OF DUE DILIGENCE, FALSIFYING NEW ACCOUNT FORMS, AND DISTRIBUTION OF UNAPPROVED INFORMATION. NO SPECIFIC ACTION REQUESTED. WITHOUT ACCEPTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO A CENSURE AND FINE OF $5,000.

    - **Disposition:** Monetary/Fine $5,000; and Censure.

  - **Details #17:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** CMS960137 AWC

    - **Action Date:** 04/23/1997

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THAT APPLICANT MISTAKENLY EXECUTED SHORT SALES OF A COMMON STOCK WHEN THE PREVIOUS INSIDE QUOTES HAPPENED TO BE DOWNTICKS IN VIOLATION OF NASD CONDUCT RULE 3350. PURSUANT TO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, APPLICANT AGREED TO A $1,000 FINE AND REMITTANCE OF $7,307.77 OF PROFITS RELATING TO THE TRANSACTIONS.

    - **Disposition:** Monetary/Fine $8,307.77.

  - **Details #18:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Exchange Hearing Panel Decision 94-166

    - **Action Date:** 12/19/1994

    - **Court/Body Name and Location:** NYSE

    - **Action Description:** THE NYSE ALLEGED THE APPLICANT VIOLATED PROVISIONS OF NYSE RULE 351(A) (FAILURE TO PROMPTLY REPORT CERTAIN EVENTS); NYSE RULE 345.17(B) (FAILURE TO TIMELY AMEND CERTAIN FORMS U-5); AND NYSE RULE 342(A) & (B) (FAILURE TO ESTABLISH APPROPRIATE PROCEDURES FOR CONTROL OF THESE REPORTING REQUIREMENTS). THIS ACTION WAS SETTLED BY STIPULATION OF FACTS AND CONSENT TO PENALTY WHEREIN APPLICANT WAS FINED $40,000 AND AGREED TO: (I) ADOPT POLICIES TO REASONABLY ENSURE PROMPT REPORTING REQUIRED BY RULES 345 & 351; (II) CONDUCT AN INTERNAL REVIEW TO DETERMINE IF ANY OTHER FILINGS NEED TO BE MADE, AND, IF NECESSARY, MAKE SUCH FILINGS; AND(III) REPORT TO THE NYSE AT THE END OF THREE MONTHS THE RESULTS OF THE REVIEW AS SPECIFIED IN (II) AND TO AFFIRM THAT ALL REQUIRED REPORTS HAVE BEEN MADE. THE LATE FILINGS WHICH ARE THE SUBJECT OF THIS ACTION WERE PREDOMINANTLY DISCOVERED BY THE APPLICANT ITSELF IN CONDUCTING AN INTERNAL REVIEW AND WERE VOLUNTARILY DISCLOSED & FILED UPON DISCOVERY OF THE ERRORS.

    - **Disposition:** Monetary/Fine $40,000.

  - **Details #19:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** MS-1104-AWC

    - **Action Date:** 05/31/1991

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT VIOLATED PROVISIONS OF PART VI, SECTION 5(A) OF SCHEDULE D FOR FAILURE TO GIVE TIMELY VOLUME REPORTING IN CONNECTION WITH CERTAIN ACTIVITIES AS A NASDAQ MARKET MAKER. APPLICANT AGREED TO FINE OF $1,000 PURSUANT TO AN ACCEPTANCE, WAIVER AND CONSENT AGREEMENT.

    - **Disposition:** Monetary/Fine $1,000.

  - **Details #20:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. MS-973 AWC

    - **Action Date:** 10/04/1990

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT VIOLATED PROVISIONS OF PART VI, SECTION 5(A) OF SCHEDULE D FOR FAILURE TO GIVE TIMELY VOLUME REPORTING IN CONNECTION WITH CERTAIN ACTIVITIES AS A NASDAQ MARKET MAKER. APPLICANT AGREED TO FINE OF $1,750 PURSUANT TO AN ACCEPTANCE, WAIVER AND CONSENT PROCEDURE.

    - **Disposition:** Monetary/Fine $1,750.

  - **Details #21:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. KC-444, District #4

    - **Action Date:** 02/08/1989

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGES THE APPLICANT VIOLATED PROVISIONS OF ARTICLE III, SECTIONS 1 AND 35 OF THE RULES OF FAIR PRACTICE FOR APPROVING AN ADVERTISEMENT FOUND TO BE MISLEADING. PURSUANT TO AN OFFER OF SETTLEMENT, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE APPLICANT AGREED TO A CENSURE AND FINE OF $1,000.

    - **Disposition:** Monetary/Fine $1,000; and Censure.

  - **Details #22:**

    - **Entity Name:** Edward D. Jones

    - **Action Title:** File No. KC-292-SC

    - **Action Date:** 08/31/1983

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT VIOLATED PROVISIONS OF AN NASD RULE CONCERNING FREERIDING AND WITHHOLDING. EDWARD JONES AND ITS FINANCIAL ADVISOR AGREED TO A CENSURE AND FINE OF $900 PURSUANT TO A SUMMARY COMPLAINT PROCEDURE.

    - **Disposition:** Monetary/Fine $900; Censure.

  - **Details #23:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. D-MSE-80-76

    - **Action Date:** 08/20/1980

    - **Court/Body Name and Location:** Midwest Stock Exchange, Inc.

    - **Action Description:** THE MIDWEST STOCK EXCHANGE ALLEGED THE APPLICANT VIOLATED A REQUIREMENT THAT SETTLEMENT OBLIGATIONS BE PAID IN CLEARING HOUSE FUNDS ON SETTLEMENT DATE OR IN FEDERAL FUNDS ON THE NEXT BUSINESS DAY FOLLOWING SETTLEMENT DATE. THE APPLICANT AGREED TO AN ASSESSMENT OF MONETARY FINE PURSUANT TO A DECISION BY THE EXCHANGE.

    - **Disposition:** Monetary/Fine $50.

  - **Details #24:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** File No. KC-291

    - **Action Date:** 02/01/1984

    - **Court/Body Name and Location:** NASD

    - **Action Description:** THE NASD ALLEGED THE APPLICANT VIOLATED AN NASD RULE CONCERNING FREE-RIDING AND WITHHOLDING. THE APPLICANT AGREED TO A CENSURE AND FINE OF $3,230.

    - **Disposition:** Monetary/Fine $3,230; and Censure.

  - **Details #25:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Docket/Case Number 2006006509601

    - **Action Date:** 11/02/2006

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** FINRA alleged Edward Jones violated MSRB Rule G-32 by failing to timely deliver official statements to certain customers in various transactions when Edward Jones was not an underwriter or member of the syndicate. FINRA also alleged Edward Jones violated MSRB Rules G-8, G-27 and G-17 in regards to certain record keeping requirements. Without admitting or denying the findings, Edward Jones consented to the described sanctions and entry of findings and was censured and fined $900,000. Edward Jones is also required within 60 days of the notice of acceptance of this AWC to adopt and implement systems and procedures reasonably designed to ensure compliance with MSRB Rules G-32 and G-8, including systems and procedures to provide adequate oversight if third party vendors are utilized, and provide certification by the principal of operations that Edward Jones has adopted and implemented supervisory systems and procedures to ensure compliance with MSRB Rules G-32 and G-8.

    - **Disposition:** Monetary/Fine $900,000; and Censure.

  - **Details #26:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** 20,070,105,377

    - **Action Date:** 08/03/2009

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** FINRA alleged Edward Jones violated NASD rules 2110, 3010(A), 3012(a)(2)(B)(i) by failing to establish, maintain and enforce a supervisory system, including written supervisory procedures that were reasonably designed to review and monitor all transmittals of funds from the accounts of customers to third party accounts. Edward Jones allegedly relied on a defective report, which was incomplete and inaccurate, to review and monitor third party wires from customer accounts, and failed to properly test and verify the system providing the report was functioning properly. As a result, the report failed to identify wires from accounts from which a former Edward Jones financial advisor was converting funds, and the financial advisor ultimately converted over $3 million in customer funds.

    - **Disposition:** Without admitting or denying the findings, Edward Jones was censured and fined $200,000.

  - **Details #27:**

    - **Entity Name:** Edward D. Jones & Co., L.P

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2009018103101)

    - **Action Date:** 06/07/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that in 87 transactions, the firm purchased municipal securities for its own account from a customer and/or sold municipal securities for its own account to a customer at an aggregate price (including any mark-down or mark-up) that was not fair and reasonable, taking into consideration all relevant factors in violation of MSRB Rules G-17 and G-30(a).

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure and a $160,000.00 fine.

  - **Details #28:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2010021566902)

    - **Action Date:** 07/02/2012

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that from November 13, 2008 through November 30, 2009 (the "relevant time period"), failed to supervise a registered representative who converted approximately $167,249 from a customer's Edward Jones account by falsifying the customer's signature on 51 Letters of Authorization (LOAs) and wiring those funds to a minor child's bank account. FINRA alleged that by virtue of this conduct, Edward Jones violated NASD Conduct Rules 2110 (for conduct before December 15, 2008) and 3010(b) and FINRA Rule 2010 (for conduct after December 14, 2008).

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure and a $95,000.00 fine.

  - **Details #29:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2010022283702)

    - **Action Date:** 01/09/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that between January 1, 2008 and July 31, 2009, Edward Jones failed to establish and maintain a supervisory system, including written procedures, that was reasonably designed to ensure that the firm' s sales of leveraged and inverse exchange traded funds (collectively ''nontraditional ETFs") complied with applicable securities laws and NASD and FINRA rules in violation of NASD Conduct Rules 3010 and 2110, and FINRA Rule 2010. FINRA also alleged, that during the same time period, certain registered representatives of Edward Jones recommended nontraditional ETFs to customers without first investigating those products sufficiently to understand the features and risks associated with them, resulting in unsuitable recommendations in violation of NASD Conduct Rules 2310 and 2110, and FINRA Rule 2010.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure, a fine of $200,000.00 and restitution of $51,581.25 to affected customers.

  - **Details #30:**

    - **Entity Name:** Edward Jones

    - **Action Title:** Edward Jones (2010025367601)

    - **Action Date:** 12/17/2012

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that prior to July 13, 2012, Edward Jones did not establish and maintain written supervisory procedures to ensure that registered representatives' Uniform Applications for Securities Industry Registration or Transfer ("Forms U4") were updated to reflect unsatisfied judgments and liens of which the Firm's Payroll Department was on notice. As a result, the Firm did not timely file Form U4 amendments in such circumstances. Such conduct constitutes a violation of Article V, Section 2(c) of the FINRA By-Laws, FINRA Rule 2010, and NASD Rules 3010(b) and 2110.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones s consented to a censure and a $35,000.00 fine.

  - **Details #31:**

    - **Entity Name:** Edward Jones

    - **Action Title:** Edward Jones (No. 2011027686301)

    - **Action Date:** 07/09/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that in six transactions for or with a customer, Edward Jones failed to use reasonable diligence to ascertain the best inter-dealer market and failed to buy or sell in such market so that the resultant price to its customer was as favorable as possible under prevailing market conditions in violation of FINRA Rule 2010 and NASD Rule 2320. FINRA also alleged that in 10 transactions, Edward Jones purchased municipal securities for its own account from a customer and/or sold municipal securities for its own account to a customer at an aggregate price (including any mark-down or mark-up) that was not fair and reasonable, taking into consideration all relevant factors in violation of MSRB Rules G-17 and G-30.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure, a fine of $21,100.00 and restitution to the affected customers in the amount of $9,784.25.

  - **Details #32:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2012031611301)

    - **Action Date:** 10/10/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that between August 2008 and June 2013, Edward Jones failed to develop and implement adequate anti-money laundering ("AML") procedures for reviewing deposits and liquidations of third-party stock certificates in customer accounts. FINRA also alleged that Edward Jones failed to obtain any information regarding the relationship between the stockholder and the account holder in such instances and failed to have procedures by which to track or investigate situations where third-party stock certificates were deposited into a Firm account in violation of NASD Rules 3011(a) (for conduct occurring before January 1, 2010) and 2110 (for conduct occurring before December 15, 2008) and FINRA Rules 3310(a) (for conduct occurring on or after January 1, 2010) and 2010 (for conduct occurring on or after December 15, 2008).

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure and a $100,000.00 fine.

  - **Details #33:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (no. 2012032011102)

    - **Action Date:** 01/15/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that Edward Jones failed to adequately supervise the certification of customer signatures on certain documents that required Firm employees to attest that the customers had signed the documents in their presence by failing to establish, maintain, and enforce an adequate supervisory system and written procedures concerning the certification of customer signatures in violation of NASD Rules 3010 (a) and (b), NASD Rule 2110 (for the period before December 15, 2008) and FINRA Rule 2010 (for the period on or after December 15, 2008)

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure and a $60,000.00 fine.

  - **Details #34:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2013037060701)

    - **Action Date:** 01/23/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that From December 1, 2006 to November 30, 2012 ("the relevant period"), Edward Jones failed to establish, maintain and enforce a supervisory system, including a written supervisory control system, reasonably designed to prevent unauthorized transfers of customer funds to third-party accounts, in violation of NASD Rules 3010, 3012(a)(2)(B)(i), 2110 and FINRA Rule 2010.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones settled the matter and consented to a censure and a fine of $75,000.00.

  - **Details #35:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2014041068801)

    - **Action Date:** 06/04/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that, during the period from January 1, 2014 to March 31, 2014 Edward Jones failed to capture the correct time of trade execution for 306 transactions in TRACE-eligible securitized products. As a result, the firm: (1) failed to report to TRACE the correct time of trade execution for the 306 transactions; and, (2) failed to show the correct time of execution on the memorandum of306 brokerage orders in violation of FINRA Rule 6730(c)(8), and Securities Exchange Act of 1934 Rule 17a-3 and FINRA Rules 2010 and 4511.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones settled the matter and consented to a censure and a $10,000.00 fine.

  - **Details #36:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2015045354201)

    - **Action Date:** 10/26/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that Edward Jones disadvantaged certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge ('Eligible Customers"). The Eligible Customers were instead sold Class A shares with a front-end sales charge or Class B or C shares with back-end sales charges and higher ongoing fees and expenses. FINRA further alleged that Edward Jones failed to establish and maintain a supervisory system and procedures reasonably designed to ensure that Eligible Customers who purchased mutual fund shares received the benefit of applicable sales charge waivers in violation of NASD Conduct Rule 3010 (for misconduct before December 1,2014), FINRA Rule 3110 (for misconduct on or after December 1, 2014), and FINRA Rule 2010.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones settled the matter and consented to a censure and remediation to the Eligible Customers.

  - **Details #37:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2015045548001)

    - **Action Date:** 01/21/2016

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that from June 2009 through December 2014 (the "relevant period"), Edward Jones violated MSRB Rule G-27 by failing to reasonably supervise and to have an adequate supervisory system, including adequate written supervisory procedures, to address short positions in tax-exempt municipal bonds that resulted primarily from trading errors, resulting in the inaccurately representation to certain of its customers that certain interest paid to those customers was exempt from taxation in violation of MSRB Rules G-17 and G-8. FINRA also alleged that Edward Jones failed to maintain a record of the customers to whom its municipal short positions were allocated in violation MSRB Rule G-8.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to a censure and a $200,000.00 fine.

  - **Details #38:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2015046579901)

    - **Action Date:** 06/02/2017

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that Edward Jones (1) effected 188 customer transactions in a municipal security in an amount lower than the minimum denomination of the issue which were not subject to an exception. These transactions were concentrated in eight CUSIPs in violation of MSRB Rule G-15(f); (2) failed, in four instances, to provide the customer a written statement at or before completion of the transaction informing the customer that the quantity of securities being sold is below the minimum denomination for the issue in violation of MSRB Rule G-15(f)(iii); and, (3) failed to disclose all material facts concerning 192 municipal securities transactions at or prior to the time of trade in violation of MSRB Rule G-1 7 (for conduct occurring before July 5, 2014) and MSRB Rule G-47 (for conduct occurring on or after July 5, 2014).

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones settled the matter and consented to a censure, a $210,000.00 fine, and an undertaking to submit satisfactory proof of offer of rescission.

  - **Details #39:**

    - **Entity Name:** Edward Jones

    - **Action Title:** Edward Jones (No. 2016048760501)

    - **Action Date:** 02/01/2017

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that for two years, Edward Jones overcharged interest totaling approximately $708,000 on loans to the owners of 6,127 customer accounts. The overcharges occurred because Edward Jones did not adequately supervise its system for determining the interest rates on those loans. As a result, Edward Jones violated NASD Rule 3010(a) and FINRA Rules 2010 and 3110(a).

    - **Disposition:** Without admitting or denying FINRA's findings Edward Jones consented to a censure and $125,000 fine. FINRA recognized Edward Jones' cooperation in voluntarily reporting and paying restitution of approximately $708,000.

  - **Details #40:**

    - **Entity Name:** Edward Jones

    - **Action Title:** Edward Jones (No. 2016049783001)

    - **Action Date:** 07/13/2017

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA found that during the period from April 2010 through 2014 (the "Relevant Period"), the Firm failed to establish, maintain, and enforce an adequate supervisory system, including written procedures, concerning the creation and dissemination of consolidated reports in violation of NASD Rule 3010(a) and FINRA Rule 2010.

    - **Disposition:** Without admitting or denying FINRA's findings, Edward Jones consented to censure and a $725,000 fine. The AWC recognized extensive remedial changes including enhancements to the Firm's systems.

  - **Details #41:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2018056422401)

    - **Action Date:** 06/19/2019

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** Letter of Acceptance, Waiver and Consent FINRA alleged that by filing Forms U4 containing misleading information about the amount of alleged damages in customers' complaints, Edward Jones violated FINRA Rule 1122 and Article V, Section 2 of FINRA's by-laws, and consequently FINRA Rule 2010. FINRA noted that the inaccuracies in Edward Jones' Form U4 filings resulted from a misunderstanding by certain of Edward Jones' associates about the applicable requirements for disclosing customers' complaints and when FINRA identified the inaccuracies, Edward Jones promptly updated the Forms U4 at issue to reflect the specific amounts of the customers' alleged damages, provided additional training to its associates, and instituted additional safeguards for its process of disclosing customers' complaints.

    - **Disposition:** The Firm consented to censure, a $40,000 fine and to certify in writing that it had reviewed its systems, policies and procedures governing the analysis and disclosure of alleged damages in customer complaints.

  - **Details #42:**

    - **Entity Name:** Edward D. Jones & Co., L.P.

    - **Action Title:** Edward D. Jones & Co., L.P. (No. 2020066649301)

    - **Action Date:** 12/13/2022

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** On December 13, 2022, Edward Jones entered into a Letter of Acceptance Waiver and Consent (AWC) with FINRA without admitting or denying the findings. FINRA alleged that Edward Jones violated FINRA Rules 8210(a)(1) and 2010 by failing to timely, completely, and accurately produce certain call detail records in response to certain FINRA document requests between May 2017 and March 2021. Call detail records are not required broker-dealer books and records. FINRA alleged that Edward Jones represented to FINRA that call detail records older than 18 months were not available, but failed to search one storage location used by certain employees with an analytics tool and failed to promptly notify FINRA upon discovering the issue. FINRA further alleged that Edward Jones failed to preserve and produce to FINRA certain call detail records that were deleted pursuant to the company's document purge protocol.

    - **Disposition:** Edward Jones agreed to a censure, to certify that it has established and implemented policies, procedures, processes and internal controls reasonably designed to address and remediate the issues identified in the AWC, and to pay a monetary fine of $1.1 million.

  - **Details #43:**

    - **Entity Name:** Edward Jones

    - **Action Title:** Edward Jones, (No. 2021069467101)

    - **Action Date:** 12/20/2024

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** On December 20, 2024, Edward Jones entered into a Letter of Acceptance Waiver and Consent with FINRA without admitting or denying the findings. FINRA alleged that, between January 2015 and June 2020, Edward Jones violated FINRA Rules 3110(a) and 2010 by failing to establish and maintain a system reasonably designed to supervise the application of sales charge waivers and fee rebates to which customers were entitled through rights of reinstatement offered by mutual fund companies. FINRA further alleged that, as a result, customers paid $4,440,979 in excess sales charges and fees between January 2015 and June 2020.

    - **Disposition:** Edward Jones was censured and ordered to pay restitution to customers in the amount of $4,440,979 plus interest. Edward Jones must provide FINRA with proof of payment, or documented efforts undertaken to effect restitution, within 180 days of December 20, 2024.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** EDWARD JONES, AN ONTARIO LIMITED PARTNERSHIP

    - **Action Title:** EC-2025-000028

    - **Action Date:** 11/18/2025

    - **Court/Body Name and Location:** Canadian Investment Regulatory Organization

    - **Action Description:** The Canadian Investment Regulatory Organization ("CIRO") alleged that Edward Jones, an Ontario limited partnership ("Edward Jones Canada") during the period of approximately September 2010 to August 2024, failed to establish and maintain a system of internal controls and supervision to ensure client fee agreements were accurately recorded and clients were charged appropriately, contrary to CIRO Dealer Member Rules 38.1 and 2500 (prior to 1/1/2022), and Investment Dealer Rule 3900 (after 1/1/2022).

    - **Disposition:** Without admitting or denying the statement of facts or violations of law, Edward Jones Canada and CIRO entered into a settlement agreement. Pursuant to the settlement agreement, Edward Jones Canada agreed to pay a fine in the amount of C$122,500 and costs of C$5,000. The fine and costs will be paid in accordance with the terms of the settlement agreement.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** James E. Crowe, III

**Title:** Principal, Deputy General Counsel

**Date:** 06/02/2026

**Phone Number:** 314-515-2000