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.
- Disclosure of SEC Rule 606 for Wells Fargo Securities, LLC – WCHV
- Disclosure of SEC Rule 606 for Wells Fargo Prime Services, LLC
Disclosure of ERISA 408(b)(2)
View required ERISA Covered Service Provider disclosures for customers with ERISA Plans
- 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 (PDF) – 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).
- Notice of Allocation Procedures for Callable Securities (PDF)
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.
- USA Patriot Act – Customer Identification Program (PDF) – Learn more about Wells Fargo Securities’ participation in the USA PATRIOT Act – Customer Identification Program.