Changeflow GovPing Securities & Markets Edward D. Jones & Co., L.P. - Consent Order
Priority review Enforcement Amended Final

Edward D. Jones & Co., L.P. - Consent Order

Favicon for www.securities.nd.gov enforcement-actions
Filed December 20th, 2024
Detected March 17th, 2026
Email

Summary

The North Dakota Securities Department has issued a consent order against Edward D. Jones & Co., L.P. The order details alleged violations and requires the firm to take specific corrective actions. This action stems from an enforcement investigation by the department.

What changed

The North Dakota Securities Department has issued an Administrative Consent Order against Edward D. Jones & Co., L.P., dated December 20, 2024. The order, which is the result of an enforcement action, outlines specific allegations and requires the firm to comply with certain provisions. While the exact nature of the violations is not detailed in the provided text, consent orders typically involve alleged breaches of securities laws or regulations.

Regulated entities, particularly broker-dealers and financial advisers operating in North Dakota, should review this order to understand the department's enforcement priorities and potential areas of concern. Edward D. Jones & Co., L.P. is required to adhere to the terms of the consent order, which may include enhanced compliance measures, training, or other corrective actions. Failure to comply with such orders can result in further penalties.

What to do next

  1. Review the full consent order for specific compliance obligations
  2. Assess internal policies and procedures for potential alignment with the order's requirements
  3. Consult with legal counsel regarding any specific actions required by the order

Source document (simplified)

Consent Order: Edward D. Jones & Co., L.P.


<< All News Monday, January 13, 2025 **Categories:* Enforcement Actions*

State of North Dakota

Securities Department

In the Matter of: Edward D. Jones & Co., L.P.

Administrative Consent Order

View Order of the Commissioner

<< All News

Source

Analysis generated by AI. Source diff and links are from the original.

Classification

Agency
State Securities
Filed
December 20th, 2024
Instrument
Enforcement
Legal weight
Binding
Stage
Final
Change scope
Substantive

Who this affects

Applies to
Broker-dealers Financial advisers
Geographic scope
State (North Dakota)

Taxonomy

Primary area
Securities
Operational domain
Compliance
Topics
Enforcement Actions Broker-dealer regulation

Get Securities & Markets alerts

Weekly digest. AI-summarized, no noise.

Free. Unsubscribe anytime.

Get alerts for this source

We'll email you when enforcement-actions publishes new changes.

Free. Unsubscribe anytime.