RegAlert2013-01-08
Added · Updated
SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
The Commission grants JPMorgan Chase & Co. a waiver from being considered an ineligible issuer under Rule 405 of the Securities Act, effective upon the entry of the Final Judgment against its subsidiaries. This determination allows JPMorgan Chase to maintain its status as a well-known seasoned issuer despite the permanent injunction entered against its affiliates for violations of Sections 17(a)(2) and (3). The relief is contingent on JPMorgan Chase and its subsidiaries complying with the Final Judgment, which includes disgorgement of $177,700,000, prejudgment interest of $38,865,536, and a civil monetary penalty of $84,350,000.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
DIVISION OF
CORPORATION FINANCE
January 8, 2013
Ms. Gail S. Ennis
Wilmer Cutler Pickering Hale and Dorr LLP
1875 Pennsylvania Avenue, NW
Washington, DC 20006
Re: In the Matter of Certain JP Morgan RMBS Offerings (HO-11542) and In the Matter of JPMorgan Chase & Co. (D-3185) JPMorgan Chase & Co. – Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act Dear Ms. Ennis:
This is in response to your letter dated November 19, 2012, written on behalf of JPMorgan Chase & Co. (Company) and its subsidiaries, J.P. Morgan Securities LLC; EMC Mortgage, LLC; Bear Stearns Asset Backed Securities I, LLC; Structured Asset Mortgage Investments II,
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