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Compliance and Regulatory Information

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. For your reference, you can find key compliance and regulatory information below.

Disclosure of SEC Rule 605

View required order execution information

Disclosure of SEC Rule 606

View equity order routing information. Use the “Company” menu to select the appropriate entity.

Other Disclosures

Privacy

 
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Wells Fargo Securities is the trade name for the capital markets and investment banking services of Wells Fargo & Company and its subsidiaries, including Wells Fargo Securities, LLC, a member of NYSE, FINRA, NFA and SIPC, Wells Fargo Institutional Securities, LLC, a member of FINRA and SIPC, Wells Fargo Prime Services, LLC, a member of FINRA, NFA and SIPC and Wells Fargo Bank, National Association. Wells Fargo Securities, LLC carries and provides clearing services for Wells Fargo Institutional Securities, LLC customer accounts.
  • Investment Products:
  • • Not FDIC Insured
  • • No Bank Guarantee
  • • May Lose Value