Compliance and Regulatory Information

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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.

Prior to December 31, 2019 please use the below 2 links:

Disclosure of SEC Rule 606 for Wells Fargo Securities, LLC – WCHV
Disclosure of SEC Rule 606 for Wells Fargo Prime Services, LLC

Post January 1, 2020, please use the below link:

Disclosures for SEC Regulation Best Interest

View required disclosures for retail investors.

Regulation Best Interest Disclosure (PDF)
Form CRS (Client Relationship Summary) (PDF)

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).
FDIC Insured Depositories Wells Fargo Securities, LLC May Have a Relationship With (PDF)
Notice of Allocation Procedures for Callable Securities (PDF)

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.

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.

Not Insured by the FDIC or Any Federal Government Agency
Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested