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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


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 Prime Services, LLC, a member of FINRA, NFA and SIPC and Wells Fargo Bank, National Association. Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC are distinct entities from affiliated banks and thrifts.
  • Investment Products:
  • • Not FDIC Insured
  • • No Bank Guarantee
  • • May Lose Value