Compliance and Regulatory Information

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 605 for Wells Fargo Securities, LLC – WCHV

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:

• Disclosure of SEC Rule 606(a) for Wells Fargo Securities, LLC (WCHV and WFPB)

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

• Disclosure of ERISA 408(b)(2) for Wells Fargo Securities (PDF)

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)

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.