Compliance and Regulatory Information
For your reference, you can find key compliance and regulatory information below.
Disclosure of SEC Rule 606
To view equity and option SEC Rule 606(a) order routing information prior to Quarter 2, 2024, see below:
To view equity and option SEC Rule 606(a) order routing information Quarter 2, 2024 and after, please use the link below.
Disclosures for SEC Regulation Best Interest
View required disclosures for retail investors.
Disclosure of ERISA 408(b)(2)
View required ERISA Covered Service Provider disclosures for customers with ERISA Plans
Other disclosures
- Business Continuity Disclosure (PDF) – Learn more about how Wells Fargo Securities responds to business disruptions.
- Disclosure of General Terms and Conditions for Customer Order Handling – Important information relating to Customer Order Handling (including FINRA Rule 5320, Guaranteed Orders, Extended Hours Trading, Market Buy Orders in New Issues, Specialist Trading on Parity, Net Trading, Indications of Interest, Regulation NMS, and SEC Rule 606).
- Wells Fargo, LLC Certificate of Deposit Disclosure Statement (PDF)
- FDIC Insured Depositories Wells Fargo Securities, LLC May Have a Relationship With (PDF)
- Notice of Allocation Procedures for Callable Securities (PDF)
- Market Making Information Handling and Hedging Disclosure (PDF)
- Wells Fargo Corporate & Investment Banking (CIB) and Wells Fargo Securities (WFS) are the trade names used for the corporate banking, capital markets, and investment banking services of Wells Fargo & Company and its subsidiaries, including but not limited to Wells Fargo Securities, LLC, member of NYSE, FINRA, NFA, and SIPC, Wells Fargo Prime Services, LLC, member of FINRA, NFA and SIPC, and Wells Fargo Bank, N.A., member NFA and swap dealer registered with the CFTC and security-based swap dealer registered with the SEC, member FDIC. Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC, are distinct entities from affiliated banks and thrifts.
- MSRB Rule G-10 Investor Education and Protection. Wells Fargo Bank, N.A. Municipal Finance Group and Wells Fargo Securities, LLC are each registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (“MSRB”). An investor brochure is available at the MSRB’s web site (www.msrb.org) that describes the protections that may be provided by MSRB rules and how to file a complaint with an appropriate regulatory authority.
Privacy
As a Wells Fargo customer, your privacy and security come first. Your accounts and personal data remain protected under our privacy policies and security protocols.
- Review the Wells Fargo privacy policy
- USA Patriot Act – Customer Identification Program (PDF) – Learn more about Wells Fargo Securities’ participation in the USA PATRIOT Act – Customer Identification Program.
