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# Compliance and Regulatory Information

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## You are leaving the WF website

You are leaving # and entering a website that WF does not control. WF has provided this link for your convenience, but does not endorse and is not responsible for the products, services, content, links, privacy policy, or security policy of this website.

Cancel Continue

## You are leaving the WF website

You are leaving # and entering a website that WF does not control. WF has provided this link for your convenience, but does not endorse and is not responsible for the products, services, content, links, privacy policy, or security policy of this website.

Cancel Continue

## You are leaving the WF website

You are leaving # and entering a website that WF does not control. WF has provided this link for your convenience, but does not endorse and is not responsible for the products, services, content, links, privacy policy, or security policy of this website.

Cancel Continue

## You are leaving the WF website

You are leaving # and entering a website that WF does not control. WF has provided this link for your convenience, but does not endorse and is not responsible for the products, services, content, links, privacy policy, or security policy of this website.

Cancel Continue

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

## Disclosure of SEC Rule 606

To view equity and option SEC Rule 606(a) order routing information prior to Quarter 2, 2024, see below:

- Q1 2024 (pdf) (xml)
- Q4 2023 (pdf) (xml)
- Q3 2023 (pdf) (xml)
- Q2 2023 (pdf) (xml)
- Q1 2023 (pdf) (xml)

To view equity and option SEC Rule 606(a) order routing information Quarter 2, 2024 and after, please use the link below.

- Disclosure of SEC Rule 606(a) for WF Securities, LLC

## 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 WF Securities (PDF)

## Other disclosures

- Business Continuity Disclosure (PDF) – Learn more about how WF 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).
- WF, LLC Certificate of Deposit Disclosure Statement (PDF)
- FDIC Insured Depositories WF Securities, LLC May Have a Relationship With (PDF)
- Notice of Allocation Procedures for Callable Securities (PDF)

## Privacy

As a WF customer, your privacy and security come first. Your accounts and personal data remain protected under our privacy policies and security protocols.

- Review the WF privacy policy
- USA Patriot Act – Customer Identification Program (PDF) – Learn more about WF Securities’ participation in the USA PATRIOT Act – Customer Identification Program.

WF Corporate & Investment Banking (CIB) and WF Securities (WFS) are the trade names used for the corporate banking, capital markets, and investment banking services of WF & Company and its subsidiaries, including but not limited to WF Securities, LLC, member of NYSE, FINRA, NFA, and SIPC, WF Prime Services, LLC, member of FINRA, NFA and SIPC, and WF Bank, N.A., member NFA and swap dealer registered with the CFTC and security-based swap dealer registered with the SEC, member FDIC. WF Securities, LLC and WF Prime Services, LLC, are distinct entities from affiliated banks and thrifts.

WF Bank, N.A. Municipal Finance Group and WF Securities, LLC are each registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (“MSRB”). An investor brochure is available at the MSRB’s web site (www.msrb.org) that describes the protections that may be provided by MSRB rules and how to file a complaint with an appropriate regulatory authority.

LRC-1225

## WF Securities tax forms

IRS forms and instructions for U.S. and non-U.S. clients