# EDGAR Filing Document

**Accession Number:** 0000740906
**File Stem:** 0000072971-23-000067
**Filing Date:** 2023-2
**Character Count:** 316376
**Document Hash:** 2677b9f0c7cce162f9bea81267894d97
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000072971-23-000067.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0000072971-23-000067

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 8

**FILED AS OF DATE**: 20230217

**DATE AS OF CHANGE**: 20230301

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** WELLS FARGO BANK N A
- **CENTRAL INDEX KEY:** 0000740906
- **IRS NUMBER:** 941347393
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00170
- **FILM NUMBER:** 23690839

**BUSINESS ADDRESS:**
- **STREET 1:** 101 NORTH PHILLIPS AVENUE
- **CITY:** SIOUX FALLS
- **STATE:** SD
- **ZIP:** 57104
- **BUSINESS PHONE:** 605-575-6900

**MAIL ADDRESS:**
- **STREET 1:** 101 NORTH PHILLIPS AVENUE
- **CITY:** SIOUX FALLS
- **STATE:** SD
- **ZIP:** 57104

### Attached PDF Documents

**Attachment 1:** `wfbnaexhibit1.pdf`

Jody Russell
Compliance Officer
Registration

Wells Fargo Bank, N.A.
401 S Tryon St.
6th Floor
Charlotte, NC 28262
Tel: 704-374-2714

October 27, 2021

U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549

RE: Wells Fargo Bank, N.A.
SBSE-A Security-Based Swap Dealer Application

Because of system limitations in the EDGAR version of Form SBSE-A, Wells Fargo Bank, N.A. ("WFBNA") is submitting the attached document in PDF. This document supplements WFBNA's electronic version of Form SBSE-A, relates to Item 13B, and contains WFBNA's responses to Section II of Schedule B (Record Maintenance Records/Business Arrangements/Control Persons/Financings).

Wells Fargo Bank, N.A.

UIC: KB1H1DSPRFMYMCUFXT09
CIK: 0000740906
NFA ID: 399337

© 2021 Wells Fargo & Company. All rights reserved.

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: ________________________ Date: _______________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name J.P. Morgan Securities LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) 0000815 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY | Termination Date MM DD YYYY |  |
| 383 Madison Ave, 11th Floor, New York, N.Y. 10179 |  |  | 06/12 2002 | / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. FCM Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: ______ Applicant NFA No.: 399337__ |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Wells Fargo Securities, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) SEC# 8-65876, CRD# 126292, NFA #336875, |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 550 S. Tryon Street, 10th Floor Charlotte, NC 28202 |  |  | Effective Date MM DD YYYY 12/21/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. FCM Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name SG Americas Securities, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA-0344862 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 245 Park Ave New York, NY 10167 |  |  | Effective Date MM DD YYYY 04/20/2017 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. FCM Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name BGC Brokers US, LP, |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) One Seaport Plaza, 19th Floor New York, NY 10038 |  |  | Effective Date MM DD YYYY 12 13/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Broker Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name BGC Financial, L.P |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD# 19801, SEC# 8-39012 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) One Seaport Plaza, 19th Floor New York, NY 10038 |  |  | Effective Date MM DD YYYY 12 13/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Broker Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: ________________________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name BGC Capital Markets, L.P. |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) One Seaport Plaza, 19th Floor New York, NY 10038 |  |  | Effective Date MM DD YYYY 12 13/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Broker Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name tpSEF Inc. |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID - 0436576 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) |  | Harborside Financial Center 1100 Plaza Five, Floor 11 Jersey City, NJ 07311-4996 | Effective Date MM DD YYYY 01/01/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an ☑ INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name ICE Clear Credit LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI - T33OE4A54QXXS2TT7X50 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 353 N Clark St, Chicago, IL 60654 |  |  | Effective Date MM DD YYYY 05 17/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Clearing Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank, National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name BLOOMBERG SEF LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID - 0435118 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 731 Lexington Avenue, New York, NY 10022 |  |  | Effective Date MM DD YYYY 09 26/2013 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name TW SEF LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID - 0436570 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 1177 Avenue of the Americas, New York, NY 10036-2714 |  |  | Effective Date MM DD YYYY 09 27 /2013 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name GFI Swaps Exchange LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID - 0436570 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 55 Water Street, New York, NY 10041 |  |  | Effective Date MM DD YYYY 10 31/2013 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: ________________________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |  |
| --- | --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |  |
| Firm or Organization Name TRADITION SEF, INC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI - 549300MBO45EHETL4438 |  |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 255 Greenwich Street, 4th Floor, New York, New York 10007 |  |  | Effective Date MM DD YYYY 10 01/2013 | Termination Date MM DD YYYY / / |  |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) |  | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: _______________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |  |
| --- | --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |  |
| Firm or Organization Name DW SEF LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID 0465310 |  |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 1177 Avenue of the Americas, New York, NY 10036-2714 |  |  | Effective Date MM DD YYYY 05 28/2014 | Termination Date MM DD YYYY / / |  |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? |  |  |  |  |  |  |
| For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name BGC Derivatives Markets, L.P. |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID - 0436571 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 499 Park Avenue, New York, NY 10022 |  |  | Effective Date MM DD YYYY 10 29/2013 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: _______________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Continuous Linked Settlements (CLS) |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 32 Old Slip, NY, NY 10005 |  |  | Effective Date MM DD YYYY 06 20/2016 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Settlement Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: _______________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Fedwire Funds Service |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) Customer Contact Center, Federal Reserve Bank of Kansas City, P.O. Box 219416, Kansas City, MO 64121-9416 |  |  | Effective Date MM DD YYYY 10 22/2008 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Settlement Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |  |
| --- | --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |  |
| Firm or Organization Name The Bank of New York Mellon |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI - WFLLPEPC7FZXENRZV188 |  |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 240 Greenwich Street New York, NY 10286 |  |  | Effective Date MM DD YYYY 11 04/2010 | Termination Date MM DD YYYY / / |  |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Custodian Agreement |  |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name ICAP Global Derivatives Limited |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) NFA ID - 0471975 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 135 Bishopsgate, London, England, EC2M 3TP |  |  | Effective Date MM DD YYYY 09 27/2013 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. SEF Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: _____ Applicant NFA No.: 399337 | Official Use | Official Use Only |
| --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |
| Section I Other Business |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |
| Firm or Organization Name Euroclear Bank SA/NV |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 1 BLVD DU ROI ALBERT II BRUSSELS, BE-BRU 1210 Belgium |  | Effective Date MM DD YYYY 11 06/2018 | Termination Date MM DD YYYY / / |  |
| Individual Name |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Custodial Arrangement Service Agreement ("CSA") |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |
| Section III Successions |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |
| Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
| This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: _____ Applicant NFA No.: 399337 | Official Use | Official Use Only |
| --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |
| Section I Other Business |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |
| Firm or Organization Name Clearstream Banking S.A. |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 42 Avenue J.F. KENNEDY L-1855, LU LUXEMBOURG, Luxembourg |  | Effective Date MM DD YYYY 05 25/2018 | Termination Date MM DD YYYY / / |  |
| Individual Name |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Collateral Management Service Agreement |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |
| Section III Successions |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |
| Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
| This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Tradition Securities & Derivatives Inc. |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD#: 28269, SEC# 8-43559, NFA# 0458147 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 32 Old Slip, 28th Fl New York, NY 10005 |  |  | Effective Date MM DD YYYY 10 20/2021 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Brokerage Rate Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: ________________________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |  |
| --- | --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |  |
| Firm or Organization Name THE DEPOSITORY TRUST COMPANY |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI - 549300HBJLROBYFMI370 |  |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 55 Water Street New York, New York 1004 1-0099 |  |  | Effective Date MM DD YYYY 03 01/2010 | Termination Date MM DD YYYY / / |  |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Custodial Arrangement |  |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? |  |  |  |  |  |  |
| For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Bay Crest Partners, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD#: 39944, SEC# 8-48931, NFA# 0393908 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 40 Wall Street, 42nd St., NY, NY 10005 |  |  | Effective Date MM DD YYYY 10 /19/2021 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Brokerage Rate Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |  |
| --- | --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |  |
| Firm or Organization Name FGC Securities, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD#158399, SEC# 8-68897, NFA# 0457344 |  |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 11 Broadway - Ste 615, NY, NY 10004 |  |  | Effective Date MM DD YYYY 10 /19/2021 | Termination Date MM DD YYYY / / |  |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Brokerage Rate Agreement |  |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Tullett Prebon Financial Services LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD#: 28196, SEC#: 8-43487, NFA# 0333185 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 200 Vesey Street, 5th Floor, NY, NY 10281-1008 |  |  | Effective Date MM DD YYYY 10 /21/2020 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Brokerage Rate Agreement |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: _____ Applicant NFA No.: 399337 | Official Use | Official Use Only |
| --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |
| Section I Other Business |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |
| Firm or Organization Name ICAP Corporates LLC |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD#: 2762, SEC#: 8-12726 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 200 Vesey Street (AMEX Tower) 6th Floor New York, New York 10281 |  | Effective Date MM DD YYYY 10 21 2021 | Termination Date MM DD YYYY / / |  |
| Individual Name |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Brokerage Rate Agreement |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |
| Section III Successions |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |
| Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
| This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |  |
| --- | --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |  |
| (Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |  |
| Firm or Organization Name Wallachbeth Capital, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CRD#: 147853, SEC#: 8-67936 |  |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 7999 North Federal Highway Suite 100 Boca Raton, FL 33487 |  |  | Effective Date MM DD YYYY 10/21/2021 | Termination Date MM DD YYYY / / |  |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Brokerage Rate Agreement |  |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |  |

**Attachment 2:** `wfbnaexhibit2.pdf`

Jody Russell
Compliance Officer
Registration

Wells Fargo Bank, N.A.
401 S Tryon St.
6th Floor
Charlotte, NC 28262
Tel: 704-374-2714

October 27, 2021

U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549

RE: Wells Fargo Bank, N.A.
SBSE-A Security-Based Swap Dealer Application

Because of system limitations in the EDGAR version of Form SBSE-A, Wells Fargo Bank, N.A. ("WFBNA") is submitting the attached document in PDF. This document supplements WFBNA's electronic version of Form SBSE-A, relates to Item 17, and contains WFBNA's responses to Section II of Schedule F (Registration with Foreign Financial Regulatory Authorities).

Wells Fargo Bank, N.A.

UIC: KB1H1DSPRFMYMCUFXT09
CIK: 0000740906
NFA ID: 399337

© 2021 Wells Fargo & Company. All rights reserved.

| Schedule F of FORM SBSE-A |  | Applicant Name: Wells Fargo Bank National Association Date: _____ Applicant NFA No.: 399337 | Official Use |
| --- | --- | --- | --- |
| Section I Service of Process and Certification Regarding Access to Records |  |  |  |
| Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will - (1) provide the Commission with prompt access to its books and records, and (2) submit to onsite inspection and examination by the Commission. |  |  |  |
| 1. Service of Process: A. Name of United States person applicant designates and appoints as agent for service of process B. Address of United States person applicant designates and appoints as agent for service of process The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in (a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and (b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made. |  |  |  |
| 2. Certification regarding access to records: Applicant can as a matter of law, and will; (1) provide the Commission with prompt access to its books and records, and (2) submit to onsite inspection and examination by the Commission. Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4]. Signature: Name and Title: Date: |  |  |  |
| Section II Registration with Foreign Financial Regulatory Authorities |  |  |  |
| Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information: |  |  |  |
| 1 Central Bank of Brazil - English Name of Foreign Financial Regulatory Authority | 43.820.471.000.159 Foreign Registration No. (if any) | Brazil English Name of Country: |  |
| 2 Office of the Superintendent of Financial Institutions - English Name of Foreign Financial Regulatory Authority | 82834 9084RC0001 Foreign Registration No. (if any) | Canada English Name of Country: |  |
| 3 Cayman Islands Monetary Authority - English Name of Foreign Financial Regulatory Authority | 100062 Foreign Registration No. (if any) | Cayman Islands English Name of Country: |  |
| If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s. |  |  |  |

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 | Colombian Financial Superintendence | 20-101 | Colombia |
| --- | --- | --- | --- |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 2 | Commission for the Financial Markets | 590341-180-0 | Chile |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 3 | Central Bank of Argentina | 30364 | Argentina |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 | Financial Conduct Authority English Name of Foreign Financial Regulatory Authority | 456183 Foreign Registration No. (if any) | United Kingdom English Name of Country: |
| --- | --- | --- | --- |
| 2 | Prudential Regulation Authority English Name of Foreign Financial Regulatory Authority | 456183 Foreign Registration No. (if any) | United Kingdom English Name of Country: |
| 3 | Dubai Financial Services Authority English Name of Foreign Financial Regulatory Authority | F001853 Foreign Registration No. (if any) | United Arab Emirates English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I Service of Process and Certification Regarding Access to Records**

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II Registration with Foreign Financial Regulatory Authorities**

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 | Australian Prudential Regulation Authority English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | Australia English Name of Country: |
| --- | --- | --- | --- |
| 2 | China Banking and Insurance Regulatory Commission English Name of Foreign Financial Regulatory Authority | "B1082B211000001" Foreign Registration No. (if any) | China English Name of Country: |
| 3 | People's Bank of China English Name of Foreign Financial Regulatory Authority | "B1082B211000001" Foreign Registration No. (if any) | China English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

Hong Kong Deposit Protection Board

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 | State Administration of Foreign Exchange English Name of Foreign Financial Regulatory Authority | B1082B211000001 B1082B211000001 | China English Name of Country: |
| --- | --- | --- | --- |
| 2 | Hong Kong Monetary Authority English Name of Foreign Financial Regulatory Authority | B245 Foreign Registration No. (if any) | China English Name of Country: |
| 3 | Hong Kong Deposit Protection Board English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | China English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 Reserve Bank of India | Foreign Registration No. (if any) | India |
| --- | --- | --- |
| - English Name of Foreign Financial Regulatory Authority |  | English Name of Country: |
| 2 Financial Services Agency | 1740 | Japan |
| - English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 3 Ministry of Finance | 1740 | Singapore |
| - English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 | Monetary Authority of Singapore | A9265 | Singapore |
| --- | --- | --- | --- |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 2 | Financial Services Commission |  | Korea |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 3 | Financial Supervisory Service |  | South Korea |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 Ministry of Economy and Finance | Foreign Registration No. (if any) | Korea |
| --- | --- | --- |
| - English Name of Foreign Financial Regulatory Authority |  | English Name of Country: |
| 2 Bank of Korea | Foreign Registration No. (if any) | Korea |
| - English Name of Foreign Financial Regulatory Authority |  | English Name of Country: |
| 3 Taiwan Financial Supervisory Commission | Foreign Registration No. (if any) | Taiwan |
| - English Name of Foreign Financial Regulatory Authority |  | English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

| Schedule F of FORM SBSE-A | Applicant Name: Wells Fargo Bank National Association | Official Use |
| --- | --- | --- |
|  | Date: _____ Applicant NFA No.: 399337 |  |

**Section I** *Service of Process and Certification Regarding Access to Records*

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person *applicant* designates and appoints as agent for service of process

B. Address of United States person *applicant* designates and appoints as agent for service of process

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in

- (a) any investigation or administrative proceeding conducted by the Commission that relates to the *applicant* or about which the *applicant* may have information; and
- (b) any civil or criminal suit or action or proceeding brought against the *applicant* or to which the *applicant* has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The *applicant* has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

*Applicant* can as a matter of law, and will;

- (1) provide the Commission with prompt access to its books and records, and
- (2) submit to onsite inspection and examination by the Commission.

*Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240.15Fb2-4].*

Signature:

Name and Title:

Date:

**Section II** *Registration with Foreign Financial Regulatory Authorities*

**Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17.** Each security-based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| 1 | State Bank of Vietnam | 01/GP-NHNN | Vietnam |
| --- | --- | --- | --- |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 2 |  |  |  |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |
| 3 |  |  |  |
|  | English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country: |

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

**Attachment 3:** `wfbnaitem14-1.pdf`

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [ ] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [ ] Item 13B [X] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name WFC Holdings, LLC "WFCH" |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI-0T19FZZ6Z7A27CCLDY33 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 420 Montgomery Street San Francisco, CA 94104 |  |  | Effective Date MM DD YYYY 11/02/1998 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. WFC Holdings, LLC is the direct owner of Wells Fargo Bank N.A. |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: ________________ Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [X] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): LEI-KB1H1DSPRFMYMCUFXT09 |  |  | Assigning Regulator(s)/Entity(s): DTCC/Global Market Entity Identifier Utility (GMEI) |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: Wells Fargo Bank National Association is a federally chartered bank. |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [ ] Item 13B [X] Item 14 [ ] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Wells Fargo & Company |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) 0000072971 - CIK |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 420 Montgomery Street, San Francisco 94104 |  |  | Effective Date MM DD YYYY 11 / 01 / 2021 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. Wells Fargo & Company is an indirect owner of Wells Fargo Bank N.A. |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. N/A |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal |  | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

**Attachment 4:** `wfbnaitem15-1.pdf`

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank National Association Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [ ] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [ ] Item 13B [ ] Item 14 [x] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Wells Fargo & Company |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) 0000072971 - CIK |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 420 Montgomery Street San Francisco, CA 94104 |  |  | Effective Date MM DD YYYY 06/28/2017 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. See attached |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

#### Item 15-Wells Fargo & Company con't

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

Wells Fargo & Company is a financial holding company. It is the direct parent of WFC Holdings, LLC, which is the direct parent of Wells Fargo Bank, N.A. ('WFBNA'). From time to time, Wells Fargo & Company issues debt to third parties. Wells Fargo & Company lends, or makes equity contributions of, the proceeds from such debt issuances to WFC Holdings, LLC. In turn, WFC Holdings, LLC may make loans to its subsidiaries, including WFBNA, pursuant to one or more affiliate loan agreements issued from time to time and outstanding under a master affiliate funding arrangement dated effective 6/28/2017.

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank N.A. Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [ ] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [ ] Item 13B [ ] Item 14 [X] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Wells Fargo Finance, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) CIK - 1738143 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 500 W. 33rd Street Floor 14 New York, NY |  |  | Effective Date MM DD YYYY 07/17/2018 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. See Attached |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

#### Item 15-Wells Fargo Finance, LLC con't

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

Wells Fargo Finance LLC offers registered securities guaranteed by Wells Fargo & Company. Funds raised by Wells Fargo Finance LLC in connection with such issuances are loaned back to Wells Fargo & Company pursuant to a master funding arrangement dated effective as of 07/17/2018. Wells Fargo & Company may lend or make equity contributions of the proceeds from such debt issuances to WFC Holdings, LLC. In turn, WFC Holdings, LLC may make loans to its subsidiaries, including WFBNA, pursuant to one or more affiliate loan agreements issued from time to time and outstanding under a master affiliate funding arrangement dated effective 06/28/2017.

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank N.A. Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [ ] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  |  | Assigning Regulator(s)/Entity(s): |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [ ] Item 13B [ ] Item 14 [☑] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name Peony Asset Management, Inc. |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI-549300LL6VD10M2ZBY31 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 3800 Howard Hughes Parkway Floor 9 Las Vegas, NV |  |  | Effective Date MM DD YYYY 06/01/2004 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. See attached |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |  | IRS Employer Number (if any) |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

# Item 15-Peony Asset Management, Inc. con't

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

Peony Asset Management, Inc. is a Delaware corporation and an indirect, wholly owned subsidiary of WFBNA. It holds a significant portion of WFBNA’s investment portfolio, including debt and equity securities considered HQLA. It also provides regular funding for WFBNA pursuant to two loan agreements, each dated effective 05/06/2021 and issued pursuant to a master affiliate funding arrangement dated effective 6/28/2017. It also from time to time lends securities to WFBNA pursuant to a securities lending arrangement dated effective 06/01/2004 for use as collateral in one or more WFBNA business transactions.

| Schedule B of FORM SBSE-A Page 1 |  | Applicant Name: Wells Fargo Bank N.A. Date: Applicant NFA No.: 399337 |  | Official Use | Official Use Only |
| --- | --- | --- | --- | --- | --- |
| Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information. This is an [ ] INITIAL [ ] AMENDED detail filing for the Form SBSE-A items checked below: |  |  |  |  |  |
| Section I Other Business |  |  |  |  |  |
| Item 11: Does applicant engage in any other non-securities, financial services industry-related business? |  |  |  |  |  |
| UIC (if any), or other Unique Identification Number(s): |  | Assigning Regulator(s)/Entity(s): |  |  |  |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: |  |  |  |  |  |
| Section II Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |  |  |  |  |
| (Check one) [ ] Item 13A [ ] Item 13B [ ] Item 14 [☑] Item 15 Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change. |  |  |  |  |  |
| Firm or Organization Name WFC Holdings, LLC |  |  | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) LEI-0T19FZZ6Z7A27CCLDZY33 |  |  |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) 420 Montgomery Street San Francisco, CA 94104 |  |  | Effective Date MM DD YYYY 06/28/2017 | Termination Date MM DD YYYY / / |  |
| Individual Name |  |  | CRD, NFA, and/or IARD Number (if any) |  |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |  | Effective Date MM DD YYYY / / | Termination Date MM DD YYYY / / |  |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary. See Attached |  |  |  |  |  |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). |  |  |  |  |  |
| Section III Successions |  |  |  |  |  |
| Item 16: Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? |  |  |  |  |  |
| Date of Succession MM DD YYYY / / |  | Name of Predecessor |  |  |  |
| SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  | IRS Employer Number (if any) |  |  |  |
| Briefly describe details of the succession including any assets or liabilities not assumed by the successor. Use reverse side of this sheet for additional comments if necessary. |  |  |  |  |  |
| Section IV Principals Effecting or Involved in Effecting SBS Business |  |  |  |  |  |
| Item 19: Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 15 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? For each Principal identified in Section IV, complete Schedule D of the Form SBSE-A and the relevant DRP pages. |  |  |  |  |  |
| 1. | Name of Principal | Type of Entity (Corp, Partnership, LLC, etc.) | SEC File No., CRD, NFA, IARD, CIK Number, UIC (if any), and/or Tax Identification Number |  |  |
|  | Business Address (Street, City, State/Country, Zip + 4/Postal Code) |  |  |  |  |
|  | This entity [ ] effects [ ] is involved in effecting security based swaps on behalf of the applicant. (check only one) |  |  |  |  |
| Briefly describe the details of the principal's activities relating to its effecting or involvement in effecting security-based swap transactions on behalf of the applicant: |  |  |  |  |  |

#### Item 15-WFC Holdings, LLC con't

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

WFC Holdings, LLC may make loans to its subsidiaries, including WFBNA, pursuant to one or more affiliate loan agreements issued from time to time and outstanding under a master affiliate funding arrangement dated effective as of 6/28/2017.

**Attachment 5:** `wfbnafourth-1.pdf`

[LOGO]

# Entity Profile Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Current Status Information

| Branch ID | Status | Effective Date |
| --- | --- | --- |
|  | NFA MEMBER APPROVED | 05/01/2013 |
|  | SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |

Status History Information

| Status | Effective Date |
| --- | --- |
| NFA MEMBER APPROVED | 05/01/2013 |
| SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
| NFA MEMBER PENDING | 11/26/2012 |
| SWAP DEALER PENDING | 11/26/2012 |

NFA ID 0299086 WELLS FARGO INVESTMENT INSTITUTE INC

| PRINCIPAL WITHDRAWN | 06/09/2022 |
| --- | --- |
| PRINCIPAL APPROVED | 07/12/2017 |
| PRINCIPAL PENDING | 07/06/2017 |

Outstanding Requirements

Annual Due Date: 5/1/2023

4S SUBMISSIONS IN REVIEW

FIRM DISCIPLINARY INFORMATION IN REVIEW

Disciplined Employee Summary

Page 1 of 1

# Business Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Name WELLS FARGO BANK NATIONAL ASSOCIATION
Form of Organization US FEDERALLY CHARTERED BANK

Federal EIN Not provided

Business Address

Street Address 1 101 N. PHILLIPS AVENUE
City SIOUX FALLS
State (United States only) SOUTH DAKOTA
Zip/Postal Code 57104
Country UNITED STATES

Phone Number 212-214-6236
Fax Number Not provided

Email Not provided

Website/URL WWW.WELLSFARGO.COM

CRD/IARD ID Not provided
US FEDERALLY CHARTERED BANK
F

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

Other Names

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

WELLS FARGO BANK NA

ALIAS

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Location of Business Records

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

| Street Address 1 | 550 SOUTH TRYON STREET |
| --- | --- |
| Street Address 2 | 6TH FLOOR |
| Street Address 3 | D1086-060 |
| City | CHARLOTTE |
| State | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

NFA

# Principal Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Individual Information

| NFA ID | 0427544 |
| --- | --- |
| Name | ALLEN, RENEE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-20-2012 |
| NFA ID | 0244096 |
| Name | BARRY, JUDITH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-10-2023 |
| NFA ID | 0538233 |
| Name | BENNETT, NICHOLAS WILLIAM |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-30-2021 |
| NFA ID | 0477406 |
| Name | BONNER, BENJAMIN THOMAS |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-20-2014 |
| NFA ID | 0303002 |
| Name | CHANCY, MARK ALAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-21-2020 |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 6

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

| NFA ID | 0537300 |
| --- | --- |
| Name | CLINGHAM JR, JAMES HOWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2021 |

| NFA ID | 0200242 |
| --- | --- |
| Name | CRAVER, THEODORE F JR |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-22-2019 |

| NFA ID | 0447669 |
| --- | --- |
| Name | DIETZ, CHARLES EDWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-03-2022 |

| NFA ID | 0427087 |
| --- | --- |
| Name | GNALL, JAMES WILLIAM |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2021 |

| NFA ID | 0552982 |
| --- | --- |
| Name | HEITMAN, BRADFORD JACK |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-12-2022 |

| NFA ID | 0554229 |
| --- | --- |
| Name | HINDMAN, VINCENT PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | PENDING |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 6

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

Effective Date **02-06-2023**

NFA ID **0546565**

Name **KEARNS, WILLIAM JOSEPH**

Title(s) **HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION**

10% or More Interest **No**

Status **APPROVED**

Effective Date **02-25-2022**

NFA ID **0300619**

Name **KOHN, MARK JONATHAN**

Title(s) **HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION**

10% or More Interest **No**

Status **APPROVED**

Effective Date **02-23-2021**

NFA ID **0552260**

Name **MACCHIO, PETER**

Title(s) **CHIEF COMPLIANCE OFFICER**

10% or More Interest **No**

Status **APPROVED**

Effective Date **10-20-2022**

NFA ID **0550747**

Name **MARCHAL, CHRISTOPHER**

Title(s) **HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION**

10% or More Interest **No**

Status **APPROVED**

Effective Date **09-19-2022**

NFA ID **0547721**

Name **MARRIOTT, JAMES DOUGLAS**

Title(s) **HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION**

10% or More Interest **No**

Status **APPROVED**

Effective Date **04-01-2022**

NFA ID **0524015**

Name **MORRIS, MARIA**

Title(s) **DIRECTOR**

10% or More Interest **No**

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 6

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

| Status | APPROVED |
| --- | --- |
| Effective Date | 10-02-2019 |
| NFA ID | 0452535 |
| Name | MULLINS, TIMOTHY PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-02-2018 |
| NFA ID | 0264809 |
| Name | ONEILL, JAMES PATRICK |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-05-2022 |
| NFA ID | 0537698 |
| Name | PAPSON, ALEXANDER FRANCIS |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-26-2021 |
| NFA ID | 0453848 |
| Name | PAYNE JR, RICHARD BANKS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-22-2020 |
| NFA ID | 0548924 |
| Name | PECK, CHARLES |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-14-2022 |
| NFA ID | 0527366 |
| Name | POWELL, SCOTT E |
| Title(s) | CHIEF OPERATING OFFICER |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 4 of 6

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

| 10% or More Interest | No |
| --- | --- |
| Status | APPROVED |
| Effective Date | 12-30-2019 |
| NFA ID | 0544708 |
| Name | PRIMAVERA, TODD G |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-26-2022 |
| NFA ID | 0524035 |
| Name | PUJADAS, JUAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-05-2019 |
| NFA ID | 0534329 |
| Name | SANTOMASSIMO, MICHAEL |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-23-2020 |
| NFA ID | 0288529 |
| Name | SCHARF, CHARLES WILLIAM |
| Title(s) | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-25-2019 |
| NFA ID | 0482001 |
| Name | SHARRETT, THAD MARCUS |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-23-2020 |
| NFA ID | 0534066 |
| Name | WAN, MAN YI MANDY |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 5 of 6

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION

10% or More Interest No

Status APPROVED

Effective Date 01-07-2021

NFA ID 0457027

Name WEISS, JONATHAN GEOFFREY

Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION

10% or More Interest No

Status APPROVED

Effective Date 04-13-2021

### Holding Company Information

NFA ID 0451284

Full Name WFC HOLDINGS LLC

10% or More Interest Yes

Status APPROVED

Effective Date 11-30-2012

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 6

# Principal Name and Financial Interest

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

# Past Firms

| Sponsor ID | Sponsor Name | Title(s) | 10% or more interest? |
| --- | --- | --- | --- |
| 0299086 | WELLS FARGO INVESTMENT INSTITUTE INC |  | Y |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

## Non-U.S. Regulator Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

### List of Non-U.S. Regulator(s) During The Past 5 Years

| Country | Regulator Name |
| --- | --- |
| BRAZIL | BANCO CENTRAL DO BRASIL/BRAZILIAN CENTRAL BANK |
| CAYMAN ISLANDS | CAYMAN ISLANDS MONETARY AUTHORITY |
| UNITED ARAB EMIRATES | DUBAI FINANCIAL SERVICES AUTHORITY |
| COLOMBIA | SUPERINTENDENCIA FINANCIERA DE COLOMBIA |
| VIETNAM | STATE BANK OF VIETNAM |
| TAIWAN (CHINESE TAIPEI) | FINANCIAL SUPERVISORY COMMISSION |
| INDIA | RESERVE BANK OF INDIA |
| CHINA | PEOPLES BANK OF CHINA |
| CHINA | CHINA BANKING REGULATORY COMMISSION |
| CANADA | OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS |
| REPUBLIC OF KOREA | BANK OF KOREA |
| AUSTRALIA | AUSTRALIAN PRUDENTIAL REGULATION AUTHORITY |
| REPUBLIC OF KOREA | FINANCIAL SERVICES COMMISSION/FINANCIAL SUPERVISORY SERVICE |
| REPUBLIC OF KOREA | MINISTRY OF FINANCE AND ECONOMY |
| CHINA | CHINA BANKING AND INSURANCE REGULATORY COMMISSION |
| UNITED KINGDOM | PRUDENTIAL REGULATORY AUTHORITY |
| UNITED KINGDOM | FINANCIAL CONDUCT AUTHORITY |
| HONG KONG | HONG KONG MONETARY AUTHORITY |
| SINGAPORE | MONETARY AUTHORITY OF SINGAPORE |
| JAPAN | BANK OF JAPAN |
| CHINA | STATE ADMINISTRATION OF FOREIGN EXCHANGE |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 2

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

TAIWAN CENTRAL BANK OF THE REPUBLIC OF CHINA
(CHINESE
TAIPEI)

JAPAN FINANCIAL SERVICES AGENCY

REPUBLIC OF MINISTRY OF STRATEGY AND FINANCE
KOREA

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 2

![img-0.jpeg](img-0.jpeg)

## Registration Contact Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

| First Name | RENEE |
| --- | --- |
| Last Name | ALLEN |
| Title | COMPLIANCE SR DIRECTOR |
| Street Address 1 | 550 SOUTH TRYON STREET |
| Street Address 2 | 6TH FLOOR |
| Street Address 3 | MAC D1086-060 |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone | 704-410-2151 |
| Fax | 704-410-0238 |
| Email | RENEE.ALLEN@WELLSFARGO.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

NFA

# Enforcement/Compliance Communication Contact Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

| First Name | RENEE |
| --- | --- |
| Last Name | ALLEN |
| Title | SR DIRECTOR |
| Street Address 1 | 550 SOUTH TRYON STREET |
| Street Address 2 | 6TH FLOOR |
| Street Address 3 | MAC D1086-060 |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone | 704-410-2151 |
| Fax | 704-410-0238 |
| Email | RENEE.ALLEN@WELLSFARGO.COM |

| First Name | PAM |
| --- | --- |
| Last Name | FRAZIER |
| Title | OPERATIONAL RISK CONSULTANT |
| Street Address 1 | 550 S TRYON ST, 5TH FLOOR |
| Street Address 2 | MAC D1086-051 |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone | 704-410-1916 |
| Fax | 704-383-1545 |
| Email | PAM.FRAZIER@WELLSFARGO.COM |

| First Name | NICK |
| --- | --- |
| Last Name | IULIUCCI |
| Title | DIRECTOR |
| Street Address 1 | 150 E 42ND ST, 35TH FLOOR |
| Street Address 2 | MAC J0161-359 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10017 |
| Country | UNITED STATES |
| Phone | 212-214-6907 |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 2

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

Email **NICK.IULIUCCI@WELLSFARGO.COM**

| First Name | PETER |
| --- | --- |
| Last Name | MACCHIO |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 500 W. 33RD STREET |
| Street Address 2 | 30 HUDSON YARDS |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10001 |
| Country | UNITED STATES |
| Phone | 212-214-1109 |
| Email | PETER.MACCHIO@WELLSFARGO.COM |

| First Name | RAFFIE |
| --- | --- |
| Last Name | MARKARIAN |
| Title | COMPLIANCE MANAGER |
| Street Address 1 | 375 PARK AVE |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10152 |
| Country | UNITED STATES |
| Phone | 212-214-5721 |
| Email | RAFFIE.MARKARIAN@WELLSFARGO.COM |

| First Name | STEPHEN |
| --- | --- |
| Last Name | MONTGOMERY |
| Title | COMPLIANCE MANAGER |
| Street Address 1 | 10 S WACKER DR |
| City | CHICHAGO |
| State (United States only) | ILLINOIS |
| Zip/Postal Code | 60606 |
| Country | UNITED STATES |
| Phone | 312-368-6481 |
| Email | STEPHEN.B.MONTGOMERY@WELLSFARGO.COM |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 2

# Membership Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Indicate the category in which the Member intends to vote on NFA membership matters. SWAP DEALER

# U.S. Regulator Information

Is the firm currently regulated by any of the regulators listed below? Yes

THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

THE FARM CREDIT ASSOCIATION

THE FEDERAL DEPOSIT INSURANCE CORPORATION

THE FEDERAL HOUSING FINANCE AGENCY

THE OFFICE OF THE COMPTROLLER OF THE CURRENCY

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Membership Contact Information

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Membership Contact

| First Name | RENEE |
| --- | --- |
| Last Name | ALLEN |
| Title | SR DIRECTOR |
| Street Address 1 | 550 SOUTH TRYON STREET |
| Street Address 2 | 6TH FLOOR |
| Street Address 3 | MAC D1086-060 |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone | 704-410-2151 |
| Fax | 704-410-0238 |
| Email | RENEE.ALLEN@WELLSFARGO.COM |

Accounting Contact

| First Name | ILIANA |
| --- | --- |
| Last Name | DIMITROVA |
| Title | MANAGER |
| Street Address 1 | DCS BROKERAGE |
| Street Address 2 | 301 S COLLEGE ST, 7TH FLOOR |
| Street Address 3 | MAC D1053-070 |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone | 704-410-8491 |
| Fax | 704-383-0126 |
| Email | DCSBROKERAGE@WELLSFARGO.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 3

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

# **Arbitration Contact**

| First Name | STEPHEN |
| --- | --- |
| Last Name | MONTGOMERY |
| Title | COMPLIANCE DIRECTOR |
| Street Address 1 | 10 S WACKER DR |
| City | CHICAGO |
| State (United States only) | ILLINOIS |
| Zip/Postal Code | 60606 |
| Country | UNITED STATES |
| Phone | 312-368-6481 |
| Email | STEPHEN.B.MONTGOMERY@WELLSFARGO.COM |

# **Compliance Contact**

| First Name | STEPHEN |
| --- | --- |
| Last Name | MONTGOMERY |
| Title | COMPLIANCE DIRECTOR |
| Street Address 1 | 10 S WACKER DR |
| City | CHICAGO |
| State (United States only) | ILLINOIS |
| Zip/Postal Code | 60606 |
| Country | UNITED STATES |
| Phone | 312-368-6481 |
| Email | STEPHEN.B.MONTGOMERY@WELLSFARGO.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 3

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

# **Chief Compliance Officer Contact**

| First Name | PETER |
| --- | --- |
| Last Name | MACCHIO |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 500 W. 33RD STREET |
| Street Address 2 | 30 HUDSON YARDS |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10007 |
| Country | UNITED STATES |
| Phone | 212-214-1109 |
| Email | PETER.MACCHIO@WELLSFARGO.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 3

![NFA logo]()

# Online Registration System

NFA Home | BASIC | Log off user churcht1

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NFA ID 0399337

Enter

WELLS FARGO BANK NATIONAL ASSOCIATION

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**Attachment 6:** `wfbnadisc-1.pdf`

NFA

# Disciplinary Information - Criminal Disclosures

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

THE QUESTIONS MAY BE ANSWERED "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

For each matter that requires a "Yes" answer to Questions A, B or C below, a Criminal Disclosure Matter Page (DMP) must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any; and
- the date of the determination.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the charges;
- the classification of the offense, i.e., felony or misdemeanor;
- the plea, sentencing and probation information, as applicable;
- the final disposition; and
- a summary of the circumstances surrounding the criminal matter.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 2

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Question A

Has the firm ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court?

No

Question B

Has the firm ever pled guilty to or been convicted or found guilty of any misdemeanor in any U.S., non-U.S. or military court which involves:

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering, or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

Question C

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 2

Online Registration System

Disciplinary Information - Criminal Disclosure Matter Summary

NFA ID

0399337

WELLS FARGO BANK NATIONAL ASSOCIATION

To add a Disclosure Matter Page (DMP), click the Add DMP button. To view or update a current DMP, click the link in the Date DMP Filed column. To delete an "In Process" DMP, click the Delete button in the Action column.

To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 781-1410. You may also send an email to registration@rafa.frutans.org.

+ Add DMP

Current Criminal Disclosure Matter Summary (1 DMP)

Show 100 entries Search:

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 16548 | 10/29/2012 | U.S DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY, SEC V. WACHOVIA BANK, N.A., N.E.A WELLS FARGO |  |  |  |  |

Archived Criminal Disclosure Matter Summary

There are currently no archived DMPs.

Online Registration System
Disciplinary Information - Firm Criminal Disclosure Matter Page

**NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each criminal case.

< Back to Summary Amend

**Disclosure Questions**

Completing this section does not update answer(s) to the Criminal Disclosure question(s). To update the Criminal Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the criminal action under:

Show Questions

☐ A ☐ B ☐ C

**Criminal Case Information**

COURT TYPE AND FILING DATE

- ☑ Court Type:
- ☑ Date Filed:

COURT INFORMATION

- ☑ Name of Court:
- ☑ City or County:
- ☑ State:
- ☑ Country:

CASE INFORMATION

- ☑ Case Number:
- ☑ Case Status:

**Charge Details**

You must complete a charge details section for each disclosable charge in the criminal case.

**Comments**

Use this field to provide a summary of the circumstances surrounding the charge(s), the current status or final disposition including sentencing/penalty information.

ON DECEMBER 8, 2011, THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY ENTERED A FINAL JUDGMENT AS TO DEFENDANT WACHOVIA BANK IN THE MATTER OF SECURITIES AND EXCHANGE COMMISSION V. WACHOVIA BANK, N.A., NOW KNOWN AS WELLS FARGO BANK N.A., SUCCESSOR BY MERGER, WHICH, AMONG OTHER THINGS, RESTRAINED AND ENJOINED WACHOVIA BANK AND ITS EMPLOYEES FROM VIOLATING SECTION 17(A) OF THE SECURITIES ACT OF 1933 IN CONNECTION WITH THE OFFER OR SALE OF SECURITIES. THE ORDER WAS ENTERED IN CONNECTION WITH A SETTLEMENT OF ALLEGATIONS THAT WACHOVIA BANK HAD VIOLATED THE ANTITRUST LAWS OF THE UNITED STATES BY ALLEGEDLY ENGAGING IN BID-RIGGING RELATED TO THE REINVESTMENT OF MUNICIPAL BOND PROCEEDS. WACHOVIA BANK NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. A NUMBER OF OTHER FINANCIAL INSTITUTIONS ALSO AGREED TO SIMILAR SETTLEMENTS. IN ADDITION, ON DECEMBER 8, 2011, WACHOVIA BANK ENTERED INTO A NON-PROSECUTION AGREEMENT WITH THE UNITED STATES DEPARTMENT OF JUSTICE (THE "DOJ"). IN THE AGREEMENT, THE DOJ AGREED NOT TO PROSECUTE WACHOVIA BANK FOR VIOLATIONS OF THE ANTITRUST LAWS; WHICH WACHOVIA BANK ACKNOWLEDGED CERTAIN OF ITS EMPLOYEES HAD COMMITTED. WACHOVIA AGREED THAT IT WOULD, AMONG OTHER THINGS, NOT VIOLATE ANY PROVISION OF FEDERAL CRIMINAL LAW FOR A PERIOD OF A YEAR; IF IT DOES, THE DOJ RESERVED THE RIGHT TO REINSTATE THE CHARGES. WELLS FARGO BANK ANTICIPATES THE NON-PROSECUTION AGREEMENT WILL BE TERMINATED AFTER THE EXPIRATION OF THE ONE YEAR PERIOD, WHICH WILL HAVE RUN ON DECEMBER 8, 2012.

**Supporting Documentation**

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the information/indictment, superseding indictments, plea agreement or findings by jury, judgment, sentencing and/or probation order, proof of satisfaction of sentence, and the final disposition of the court. If court documentation is no longer available, please submit a certified letter from the applicable court providing the reason the documentation is not on file.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@rafa.fatums.gov, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

< Back to Summary

NFA

# Disciplinary Information - Financial Disclosures

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Question J below, a Financial DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the financial matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

Question J

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

Yes

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

Online Registration System

Disciplinary Information - Financial Disclosure Matter Summary

NFA ID

0399337

WELLS FARGO BANK NATIONAL ASSOCIATION

To add a Disclosure Matter Page (DMP), click the Add DMP button. To view or update a current DMP, click the link in the Date DMP Filed column. To delete an "In Process" DMP, click the Delete button in the Action column.

To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 781-1410. You may also send an email to registrations@rafa.finance.org.

+ Add DMP

Current Financial Disclosure Matter Summary (1 DMP)

Show 100 entries Search:

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 16130 | 10/29/2012 | VARIOUS |  |  |  |  |

Archived Financial Disclosure Matter Summary

There are currently no archived DMPs.

Online Registration System
Disciplinary Information - Firm Financial Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each action.

< Back to Summary Amend

# **Disclosure Question**

Completing this section does not update the answer to the Financial Disclosure question. To update the Financial Disclosure question, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question you are disclosing the financial matter under: Show Question

☐

# **Case Information**

# **BANKRUPTCY CASE INFORMATION**

- 1 United States Bankruptcy Court (USBC) location where the related bankruptcy case was filed.
- 2 Case Number:

# **ADVERSARY CASE INFORMATION**

- 1 Court where the adversary action was filed.
- 2 Court Location:
- 3 Case Number of Adversary Action:
- 4 Adversary Action Status:

# **Comments**

Use this field to provide a summary of the circumstances leading to the adversary action as well as status/disposition details.

WELLS FARGO BANK IS A LARGE COMMERCIAL AND RETAIL BANK. IT LOANS MONEY OR ENGAGES IN OTHER FINANCIAL TRANSACTIONS WITH MILLIONS OF CUSTOMERS. AT ANY GIVEN TIME A NUMBER OF THOSE CUSTOMERS INITIATE BANKRUPTCY PROCEEDINGS AND WELLS FARGO BANK IS REGULARLY INVOLVED IN ADVERSARY ACTIONS COMMENCED BY BANKRUPTCY TRUSTEES IN CONSUMER AND COMMERCIAL BANKRUPTCIES.

# **Supporting Documentation**

You must provide NFA with supporting documentation if not previously submitted. This includes the complaint and the final disposition for each adversary action.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.htnews.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

< Back to Summary

NFA

# Disciplinary Information - Regulatory Disclosures

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, a Regulatory DMP must be filed using NFA's DMP Filing System that requests:

who was involved;
when it occurred;
what the allegations were;
- what the final determination was, if any;
the date of the determination; and
- a summary of the circumstances surrounding the regulatory matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

the allegations; and
the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 3

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

Yes

Question E

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Yes

Question F

Has the firm ever been debarred by any agency of the U.S. from contracting with the U.S.?

No

Question G

Has the firm ever been the subject of any order issued by or a party to any agreement with a U.S. or non-U.S. regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a U.S. futures exchange) that prevented or restricted the firm's ability to engage in any business in the financial services industry?

Yes

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 3

Viewed on February 10, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?

**Yes**

Question I

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?

**Yes**

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 3

Online Registration System

Disciplinary Information - Regulatory Disclosure Matter Summary

NFA ID

0399337

WELLS FARGO BANK NATIONAL ASSOCIATION

To add a Disclosure Matter Page (DMP), click the Add DMP button. To view or update a current DMP, click the link in the Date DMP Filed column. To delete an "In Process" DMP, click the Delete button in the Action column.

To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 781-1410. You may also send an email to registrations@nfa.futures.org.

+ Add DMP

Current Regulatory Disclosure Matter Summary (17 DMPs)

| Show | 100 | entries | Search: |
| --- | --- | --- | --- |

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
| L | 18844 | 07/08/2022 | CONSUMER FINANCIAL PROTECTION BUREAU 2022-CV78-0011 | FINAL | 12/2022 |  |  |
| L | 17825 | 09/08/2021 | U.S. ATTORNEYS OFFICE FOR THE SOUTHERN DISTRICT OF NEW YORK 1:21-CV-00007 | FINAL | 9/2021 |  |  |
| U.S. | 17817 | 09/16/2021 | OFFICE OF COMPTROLLER OF THE CURRENCY (GCC) AA-DN9-2021-29 & AA-DN9-2021-29 | FINAL | 9/2021 |  |  |
| L | 16954 | 09/15/2020 | UNITED STATES DEPARTMENT OF JUSTICE WOMI | FINAL | 2/2020 | 03/20/2020 |  |
|  | 16140 | 08/20/2019 | CA DOF FINAL LA20160060-AP |  |  |  |  |
|  | 16141 | 08/20/2018 | AUGUST 1, 2018 DOF SETTLEMENT |  |  |  |  |
|  | 16139 | 07/08/2018 | WELLS FARGO BANK, N.A. CASE 2018-8CF0-0001 |  |  |  |  |
|  | 16136 | 07/08/2018 | WELLS FARGO BANK, N.A. CASE AA-EC-2018-15 & AA-EC-2018-16 |  |  |  |  |
|  | 16146 | 07/08/2018 | CA INSURANCE 2.2018 |  |  |  |  |
|  | 16145 | 07/15/2017 | WELLS FARGO BANK, N.A., MPG SEC CONSENT |  |  |  |  |
|  | 16144 | 07/15/2016 | 8/3/15 OCC CREDIT CARD ADD-ON PRODUCTS CONSENT ORDER |  |  |  |  |
|  | 16143 | 07/15/2015 | 3/4/15 CITY ATTORNEY OF LOS ANGELES RETAIL BANKING LAWSUIT |  |  |  |  |
|  | 16142 | 07/16/2014 | OCC CONSENT ORDER # 2013-067 (RESIDENTIAL MORTGAGE SERVICING) |  |  |  |  |
|  | 16147 | 01/17/2013 | CALIFORNIA DEPARTMENT OF CORPORATIONS |  |  |  |  |
|  | 16138 | 11/06/2012 | OCC AND WACHOVIA BANK, N.A. CONSENT ORDER |  |  |  |  |
|  | 16137 | 11/06/2012 | U.S. DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY |  |  |  |  |
|  | 16149 | 11/06/2012 | UNITED STATES OF AMERICA V. WELLS FARGO BANK, N.A. |  |  |  |  |

Online Registration System
Disciplinary Information - Firm Regulatory Disclosure Matter Page

**NFA ID 8399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

< Back to Summary Amend

**Disclosure Questions**

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: Show Questions

**Regulatory Case Information**

**REGULATORY INFORMATION**

Regulatory/Civil Action initiated by: OTHER FEDERAL AGENCY Name of Regulatory Body: CONSUMER FINANCIAL PROTECTION BUREAU

**CASE INFORMATION**

- Case Number: 2022-CFPB-0011
- Case Status: FINAL
- Date Received: DECEMBER 2022
- Were any of the following sanctions imposed?: Other: MONETARY FINE & RESTITUTION

**Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE CFPB ALLEGED THAT CERTAIN OF THE BANK'S AUTO LOAN SERVICING, MORTGAGE LOAN SERVICING, AND CONSUMER DEPOSIT ACCOUNT PRACTICES WERE UNFAIR, AND THAT ONE CONSUMER DEPOSIT ACCOUNT PRACTICE WAS DECEPTIVE, AS FURTHER DESCRIBED IN THE CONSENT ORDER.

PENALTY PAID 12/27/2022. REMEDIATION TO CUSTOMERS AND CERTAIN PROCESS CHANGES ARE IN PROCESS, AS FURTHER DESCRIBED IN THE ORDER.

**Supporting Documentation**

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only pdf, doc, docx, txt, and All document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registrations@ufa.famuno.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

Show All entries

Search:

| Description | Uploaded File |
| --- | --- |
| CFPB CONSENT ORDER | CFPB Consent Order.pdf |

< Back to Summary

2022-CFPB-0011 Document 1 Filed 12/20/2022 Page 1 of 32

## UNITED STATES OF AMERICA
## CONSUMER FINANCIAL PROTECTION BUREAU

ADMINISTRATIVE PROCEEDING
File No. 2022-CFPB-0011

In the Matter of:

WELLS FARGO BANK, N.A.

CONSENT ORDER

The Consumer Financial Protection Bureau (Bureau) has identified the following violations of law at Wells Fargo Bank, N.A. (Respondent): (i) with respect to auto loan servicing, Respondent incorrectly applied loan payments, erroneously imposed certain fees and charges, incorrectly repossessed customers' vehicles, and failed to refund certain unearned fees on debt cancellation products; (ii) with respect to home mortgage servicing, Respondent incorrectly denied mortgage loan modifications to certain qualified borrowers; and (iii) with respect to consumer deposit accounts, Respondent improperly froze or closed customer accounts, improperly charged certain overdraft fees, and did not always waive monthly account service fees consistent with its disclosures. Since 2020, Respondent has accelerated corrective actions and remediation, including to

1

2022-CFPB-0011 Document 1 Filed 12/20/2022 Page 2 of 32

address these violations. Under §§ 1053 and 1055 of the Consumer Financial Protection Act of 2010 (CFPA), 12 U.S.C. §§ 5563, 5565, the Bureau issues this Consent Order.

# **I.**

# **Jurisdiction**

1. The Bureau has jurisdiction over this matter under §§ 1053 and 1055 of the CFPA, 12 U.S.C. §§ 5563 and 5565.

# **II.**

# **Stipulation**

2. Respondent has executed a “Stipulation and Consent to the Issuance of a Consent Order,” dated December 19, 2022, (Stipulation), which is incorporated by reference and is accepted by the Bureau. By this Stipulation, Respondent has consented to the issuance of this Consent Order by the Bureau under §§ 1053 and 1055 of the CFPA, 12 U.S.C. §§ 5563, 5565, without admitting or denying any of the findings of fact or conclusions of law, except that Respondent admits the facts necessary to establish the Bureau’s jurisdiction over Respondent and the subject matter of this action.

2

2022-CFPB-0011 Document 1 Filed 12/20/2022 Page 3 of 32

# Definitions

3. The following definitions apply to this Consent Order:

a. “Affected Consumer” means any consumer who was subjected to any of the Specified Acts and Practices.

b. “Auto Servicing Acts and Practices” means the acts and practices described in paragraphs 7 through 19.

c. “Board” means Respondent’s duly elected and acting Board of Directors.

d. “Effective Date” means the date on which the Consent Order is entered on the administrative docket.

e. “Enforcement Director” means the Assistant Director of the Office of Enforcement for the Bureau, or his or her delegate.

f. “Overdraft” means when a consumer does not have enough money in their deposit account to cover a transaction when it settles (i.e., is presented to Respondent for payment) and posts to the account, but the Respondent nevertheless pays it.

g. “Regional Director” means the Regional Director for the West Region for the Office of Supervision for the Bureau, or his or her delegate.

h. “Related Consumer Action” means a private action by or on behalf of one or more consumers or an enforcement action by another

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governmental agency brought against Respondent based on substantially the same facts as described in Section IV of this Consent Order.

i. “Respondent” means Wells Fargo Bank, N.A., its subsidiaries, and its successors and assigns.

j. “Specified Acts and Practices” means any of the acts or practices described in Section IV of this Order.

# IV.

# Bureau Findings and Conclusions

The Bureau finds the following:

4. Respondent is a national bank headquartered in Sioux Falls, South Dakota. As of December 31, 2021, Respondent had $1.78 trillion in total assets. As of June 2021, Respondent had $1.84 trillion in consumer product exposure (the sum of consumer assets, originated and serviced, and consumer deposits). As of June 30, 2022, Respondent’s (including its affiliates and subsidiaries) residential mortgage portfolios totaled $252.9 billion (first lien) and $14.6 billion (junior lien); its credit card portfolio totaled $41.2 billion; its auto-loan portfolio totaled $55.7 billion; and other outstanding consumer loans totaled $29.4 billion.

5. Respondent is an insured depository institution with assets greater than

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$10,000,000,000 within the meaning of 12 U.S.C. § 5515(a).

6. Respondent is a “covered person” under 12 U.S.C. § 5481(6).

# **Automobile Loan Servicing Acts and Practices**

7. Respondent’s automobile-loan-servicing systems experienced a number of failures that caused Respondent to incorrectly apply borrowers’ payments; charge borrowers incorrect fees, interest, or other amounts; and repossess borrowers’ vehicles. In addition, Respondent did not have sufficient processes to ensure that borrowers who had previously paid certain fees upfront to automobile dealers received a refund of those fees when warranted.

8. Respondent has provided $1.3 billion in remediation to more than 11 million borrower accounts to address these auto-loan-servicing issues.

9. Incorrectly applied payments and payment processing problems: From at least 2011 through 2022, Respondent incorrectly applied or processed many borrowers’ auto-loan payments due to various technology, training, customer service, and compliance failures when servicing auto loans. For example, from November 2012 until at least August 2018, if a borrower requested that a payment be applied to principal, branch employees were unable to notify borrowers about past due amounts that a principal-only payment would not cover because Respondent did not make the information accessible to branch employees, resulting in nearly 210,000

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borrower accounts for which payments were applied in a manner that was less beneficial to the borrower than they could have been. As a result, Respondent is providing remediation to these borrower accounts of more than $105 million.

10. Respondent also failed to apply certain borrower payments in the manner described on Respondent's website; to post certain borrower payments in a timely fashion; or to ensure that certain automatic payment amounts reflected the amount owed and due; among other payment-application errors that harmed consumers.

11. Respondent is providing remediation resulting from these failures of roughly $565 million to almost 6 million borrower accounts.

12. Incorrect fees and charges: Respondent also assessed borrowers erroneous fees and interest because of technology, audit, and compliance failures. As an example, from at least 2011 until at least March 2019, Respondent sometimes incorrectly entered the effective date of a payment deferment in, or omitted it from, its servicing system-of-record, which resulted in $26.5 million in erroneously assessed late fees to more than 688,000 borrower accounts.

13. Other similar failures have occurred, and Respondent is providing at least $424 million in remediation for improper fees and charges to almost 4.5

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million borrower accounts.

14. Repossession-related errors: From at least 2011 through 2022, Respondent experienced other types of servicing errors, which had the potential to contribute to a borrower's delinquency, and in some cases led to improper repossessions. For example, Respondent repossessed vehicles despite the borrower having made a payment or entering into an agreement to forestall the repossession. In addition, Respondent made other repossession-related errors, such as failing to provide legally required information to certain borrowers.

15. In addition, in at least 38,000 instances, Respondent failed to sell a repossessed vehicle in a commercially reasonable amount of time, resulting in Respondent providing more than $40 million in remediation to borrowers to address depreciated vehicle values.

16. Respondent is providing more than $246 million in remediation for repossession-related harm involving nearly 850,000 borrower accounts.

17. GAP fee refunds: Guaranteed Asset Protection (GAP) contracts are a type of debt cancellation contract (DCC) that generally relieve the borrower from the obligation to pay the remaining amount of the borrower's loan on the vehicle above the vehicle's depreciated value in the case of a major accident or theft. The auto dealer markets GAP coverage to the borrower

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and is paid the GAP fee. However, borrowers often finance GAP fees as part of their auto loan at origination and the GAP contract becomes part of the auto loan contract. If the borrower pays off the loan early, or the GAP contract otherwise terminates, the borrower may be entitled to a refund of the unearned portion of the GAP fee that they financed when first buying the vehicle. Such refund obligations usually are governed by the terms of the GAP contract executed between the borrower and the originating dealer, with GAP contracts sometimes requiring that the borrower make a written request to the originating dealer for a GAP refund. Respondent, as the owner and servicer of the GAP contracts, did not ensure that unearned GAP fees were refunded to all borrowers who paid off their loans early. Respondent, however, obtained such GAP fee refunds when it would benefit Respondent, while also lowering the borrower’s remaining balance, such as in cases of loan default or repossession.

18. During the Bureau’s investigation of these practices, Respondent refunded tens of millions of dollars in estimated GAP fees to borrowers where Respondent determined that state law mandated such refunds. Until July 2021, Respondent did not ensure that, for the loans it did not originate but subsequently owned and serviced, borrowers who had financed the cost of the GAP contract and subsequently paid off their loans early or had their vehicles repossessed (thus terminating the GAP contract), received any

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refund for which they were eligible.

19. Respondent experienced other GAP-related processing and refund failures. For example, Respondent's failure to follow Texas regulations between 2017 and 2020 resulted in Respondent failing to make timely GAP fee refunds due to nearly 90,000 borrower accounts, resulting in remediation of more than $25 million.
20. Section 1036(a)(1)(B) of the CFPA prohibits "unfair, deceptive, or abusive" acts or practices. 12 U.S.C. § 5536(a)(1)(B). An act or practice is unfair if it causes or is likely to cause consumers substantial injury that is not reasonably avoidable and if the substantial injury is not outweighed by countervailing benefits to consumers or to competition. 12 U.S.C. § 5531(c)(1).
21. Respondent's acts and practices described in paragraphs 7 through 19 caused substantial injury to consumers that was not reasonably avoidable or outweighed by any countervailing benefit to consumers or to competition.
22. Thus, Respondent engaged in unfair acts and practices in violation of §§ 1036(a)(1)(B) and 1031(c)(1) of the CFPA. 12 U.S.C. §§ 5536(a)(1)(B), 5531(c)(1).

### Mortgage Servicing Acts and Practices

23. Respondent has incorrectly denied mortgage loan modification applications and miscalculated fees and other charges for thousands of mortgage

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borrowers, as set forth below, resulting in at least $195 million in remediation being paid to affected mortgage borrowers. Some of these failures were the result of software errors that persisted for multiple years.

24. In one such significant technology and internal controls failure, from at least 2011 through April 2018, Respondent’s process for evaluating loan-modification applications was affected by errors in the relevant calculation formulas. These errors resulted in an overstatement of the attorneys’ fees included in the calculation, which sometimes caused an otherwise qualified borrower not to be offered a loan modification.

25. Respondent became aware of this problem in late 2013 and, after reviewing the issue, concluded that it did not adversely affect borrowers’ ability to obtain loan modifications. Respondent attempted to correct the attorneys’ fee calculation, but later determined (in March 2018) that it had not fixed the issue and was continuing to fail to offer some borrowers loan modifications. Ultimately, Respondent addressed the error and is providing approximately $77.2 million in remediation to approximately 3,200 mortgage accounts that experienced incorrect loss- mitigation outcomes, including wrongful foreclosures.

26. Another error occurred from July 2013 until September 2018, when Respondent did not offer no-application modifications to approximately 190 borrowers with Government Sponsored Entity (GSE) loans. Respondent

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erroneously identified these borrowers as deceased and therefore did not assess their eligibility for modifications. Respondent is paying approximately $2.4 million in remediation to these borrowers.

27. Respondent's mortgage servicing operations experienced other errors that resulted in Respondent assessing borrowers unwarranted charges and fees in various situations, including when certain consumers paid off a mortgage that had been subject to a foreclosure judgment; Respondent failed in certain cases to timely pay the appropriate amount of property taxes; Respondent miscalculated the interest rate on certain adjustable rate mortgages after a loan modification ended; and Respondent did not give certain consumers complete information about their ability to stop paying for expensive private mortgage insurance.

28. Section 1036(a)(1)(B) of the CFPA prohibits "unfair, deceptive, or abusive" acts or practices. 12 U.S.C. § 5536(a)(1)(B). An act or practice is unfair if it causes or is likely to cause consumers substantial injury that is not reasonably avoidable and if the substantial injury is not outweighed by countervailing benefits to consumers or to competition. 12 U.S.C. § 5531(c)(1).

29. Respondent's acts and practices described in paragraphs 23 through 27 caused substantial injury to consumers that was not reasonably avoidable or outweighed by any countervailing benefit to consumers or to competition.

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30. Thus, Respondent engaged in unfair acts and practices in violation of §§ 1036(a)(1)(B) and 1031(c)(1) of the CFPA. 12 U.S.C. §§ 5536(a)(1)(B), 5531(c)(1).

# Consumer Deposit Account Acts and Practices

31. Account freezes: From at least 2011 through October 2016, when Respondent believed that a fraudulent deposit had been made into a consumer deposit account based largely on an automated fraud detection system that identified suspect deposit accounts for employee review, Respondent’s typical practice was to freeze the customer’s entire deposit account, along with the customer’s other accounts. This account freeze prevented the customer from accessing any funds in the account, not just the funds from the suspect deposit.
32. Customers affected by these account freezes were unable to access their money, on average for a period of at least two weeks, until Respondent closed the accounts and returned the customer’s money.
33. Respondent is providing over $160 million in remediation to the more than one million deposit account customers affected by these account freezes.
34. Respondent changed its practice of freezing consumer deposit accounts when it suspected that a deposit may be fraudulent and began using, where appropriate under the circumstances and sufficient to prevent further fraud, lesser restraints such as item-level holds under Regulation CC.

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35. Section 1036(a)(1)(B) of the CFPA prohibits “unfair, deceptive, or abusive” acts or practices. 12 U.S.C. § 5536(a)(1)(B). An act or practice is unfair if it causes or is likely to cause consumers substantial injury that is not reasonably avoidable and if the substantial injury is not outweighed by countervailing benefits to consumers or to competition. 12 U.S.C. § 5531(c)(1).

36. Respondent’s acts and practices described in paragraphs 31 through 34 caused substantial injury to consumers that was not reasonably avoidable or outweighed by any countervailing benefit to consumers or to competition.

37. Thus, Respondent engaged in unfair acts and practices in violation of §§ 1036(a)(1)(B) and 1031(c)(1) of the CFPA. 12 U.S.C. §§ 5536(a)(1)(B), 5531(c)(1).

38. Monthly service fee waivers: Respondent disclosed to consumer deposit account holders that several of its most popular checking accounts provided waivers of monthly service fees (MSFs), usually $10 or $12, if customers met certain conditions. One of the options for obtaining such a waiver that was available from April 2012 to November 2020 required customers to make “10 or more debit card purchases and/or payments from this checking account” during the monthly statement cycle. This language (and language like it) appeared in Respondent’s account brochures and account agreements

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for years.

39. However, rather than waiving MSFs whenever a customer conducted 10 transactions that constituted either a purchase using a debit card or some other type of payment from the consumer's checking account during a statement cycle, Respondent only counted debit card transactions (not all types of payments) and only those that posted during the statement cycle (debit card transactions sometimes post several days after the purchase).
40. Respondent wrongly denied MSF waivers to more than 4 million of its account holders and is paying more than $141 million in remediation to customers.
41. Section 1036(a)(1)(B) of the CFPA prohibits "unfair, deceptive, or abusive" acts or practices. 12 U.S.C. § 5536(a)(1)(B). An act or practice is deceptive if there is a representation, omission, act, or practice that misleads or is likely to mislead a consumer; the consumer's interpretation is reasonable under the circumstances; and the representation, omission, act, or practice is material.
42. Respondent's representations and actions, as described in paragraphs 38 through 40, constitute deceptive acts or practices in violation of §§ 1031(a), and 1036(a)(1)(B) of the CFPA, 12 U.S.C. §§ 5531(a), 5536(a)(1)(B).

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43. Overdraft Practices: Respondent sometimes assessed fees for Overdrafts on consumer debit card purchases and ATM withdrawals at the time that the transaction settled even if the consumer had enough funds available in their account to cover the amount of the transaction at the time they made it (transaction authorization). Overdraft fees charged on consumer debit card purchases and ATM withdrawals in such circumstances are sometimes referred to as Authorized-Positive Overdraft Fees.

44. Consumers may be taken by surprise when they incur Authorized-Positive Overdraft Fees because they believed that if they had enough money to cover the relevant transaction when it was authorized they would not incur an Overdraft fee. These Authorized-Positive Overdraft Fees were not reasonably avoidable because they were contrary to consumers' reasonable expectations. Respondent implemented a process to stop charging Authorized-Positive Overdraft Fees on consumer debit card purchases in March 2022 (and is in the process of stopping charging such fees on ATM withdrawals).

45. Section 1036(a)(1)(B) of the CFPA prohibits "unfair, deceptive, or abusive" acts or practices. 12 U.S.C. § 5536(a)(1)(B). An act or practice is unfair if it causes or is likely to cause consumers substantial injury that is not reasonably avoidable and if the substantial injury is not outweighed by countervailing benefits to consumers or to competition. 12 U.S.C. § 5531(c)(1).

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46. Respondent's acts and practices described in paragraphs 43 through 44 caused substantial injury to consumers that was not reasonably avoidable or outweighed by any countervailing benefit to consumers or to competition.
47. Thus, Respondent engaged in unfair acts and practices in violation of §§ 1036(a)(1)(B) and 1031(c)(1) of the CFPA. 12 U.S.C. §§ 5536(a)(1)(B), 5531(c)(1).

# CONDUCT PROVISIONS

# V.

# Prohibited Conduct

IT IS ORDERED, under §§ 1053 and 1055 of the CFPA, that:

48. Respondent and its officers, agents, servants, employees, and attorneys who have actual notice of this Consent Order, whether acting directly or indirectly, may not violate sections 1031 and 1036 of the CFPA, 12 U.S.C. §§ 5531 and 5536, in connection with the acts and practices described in Section IV.
49. Respondent, and its officers, agents, servants, employees, and attorneys who have actual notice of this Consent Order, whether acting directly or indirectly, must take the following affirmative actions:

# Refunds of Unused Portions of GAP Contracts

50. Respondent must maintain a policy and practice designed to ensure that the unused portion of GAP contracts that Respondent finances, or that are

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otherwise assigned to Respondent, are refunded to the borrower, regardless of state law. Respondent must ensure that the unused portions of GAP contracts that Respondent finances or otherwise acquires are refunded to auto loan customers promptly after termination of the contract. Nothing in this Consent Order prevents Respondent from seeking reimbursement for refunds from any other party.

# **Prohibition on Freezing Consumer Deposit Accounts When Less Restrictive Means Are Reasonable Under the Circumstances**

51. Respondent, when it suspects that a deposit in a consumer deposit account may be fraudulent, must use an item-level hold or other restraint less than a full freeze of the deposit account when reasonable under the circumstances and sufficient to prevent further fraud. Nothing in this Consent Order shall prohibit the use of restraints such as ‘Block all Debits’ and ‘Block all Debits and Credits’ when reasonable and appropriate to protect Respondent, payment systems and processors, or its customers from fraud.

# **Prohibition on Charging Authorized-Positive Overdraft Fees**

52. Respondent may not charge Authorized-Positive Overdraft Fees on consumer debit card purchases or ATM withdrawals, as described in paragraphs 43-44.

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# VI.

# Role of the Board

**IT IS FURTHER ORDERED** that:

53. The Board or a committee thereof must review all submissions (including plans, reports, programs, policies, and procedures) required by this Consent Order or a summary thereof prior to submission to the Bureau.

54. The Board will have the ultimate responsibility for proper and sound management of Respondent and for ensuring Respondent's compliance with the laws that the Bureau enforces and with this Consent Order.

55. In each instance that this Consent Order requires the Board to ensure adherence to, or perform certain obligations of Respondent, the Board or a committee thereof must:

a. Authorize whatever actions are necessary for Respondent to fully comply with this Consent Order;

b. Require timely reporting by management to the Board or a committee thereof on the status of compliance obligations and actions directed by the Board or a committee thereof to be taken under this Consent Order;

c. Follow up on material non-compliance with such actions in a timely and appropriate manner; and

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d. Require timely and appropriate corrective action to remedy any material non-compliance with Board directives related to this Section.

## **MONETARY PROVISIONS**

### **VII.**

#### **Order to Pay Redress**

56. Respondent has developed, or must develop, remediation plans for each of the Specified Acts and Practices, where necessary and appropriate, and must provide remediation to consumers for these practices.

#### **IT IS FURTHER ORDERED** that:

57. Respondent may not condition the payment of any redress to any Affected Consumer under this Consent Order on that Affected Consumer waiving any right.

#### **Unearned GAP Fees**

58. Respondent shall ensure that customers who submitted valid claims in connection with the settlement agreement in *Herrera v. Wells Fargo*, No. 8:18-cv-00332-JVS-MRW (C.D. Cal.), be provided additional compensation such that they receive, in total, the full amount of their GAP-fee refunds.

#### **Redress for Account Freezes**

59. Respondent’s consumer remediation plan must include, at minimum and where applicable, compensation of $150 to each consumer (or each unique

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joint ownership group) affected by the Account Freeze practices described in paragraphs 31 through 34.

# **Redress for Authorized-Positive Overdraft Fees**

60. Respondent must refund to customers approximately $205 million in Overdraft fees, reflecting Authorized-Positive Overdraft Fees that were charged and not reversed or refunded since January 1, 2021.

# **Wrongful Repossessions**

61. Respondent's remediation plans for wrongful repossessions (i.e., errors that caused repossessions) resulting from the Auto Servicing Acts and Practices have included and will continue to include for in-flight remediations, each of the following:

a. $1,500 in compensation for transportation expenses;

b. $2,500 in compensation for non-transportation expenses;

c. Reimbursement of all repossession costs paid that result directly from the repossession;

d. If the repossessed vehicle was sold by Respondent, the difference between the market value of the vehicle and the actual sale price, if the former was greater than the latter;

e. Refund of any payments made on any deficiency balance;

f. Reimbursement of the excess tax obligation resulting from the filing of a Form 1099-C reflecting a discharged principal amount that was

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not reduced by the compensation required by subsections c and d,
above;

g. Reimbursement of estimated attorney fees and costs resulting from
judgments sought or obtained by Respondent; and
h. Loss of use compensation consistent with Respondent's enterprise-
wide remediation program for the above categories of redress.

# VIII.

# Order to Pay Civil Money Penalty

IT IS FURTHER ORDERED that:

62. Under § 1055(c) of the CFPA, 12 U.S.C. § 5565(c), by reason of the
violations of law described in Section IV of this Consent Order, Respondent
must pay a civil money penalty of $1.7 billion ($1,700,000,000) to the
Bureau.
63. Within 10 days of the Effective Date, Respondent must pay the civil money
penalty by wire transfer to the Bureau or to the Bureau's agent in
compliance with the Bureau's wiring instructions.
64. The civil money penalty paid under this Consent Order will be deposited in
the Civil Penalty Fund of the Bureau as required by § 1017(d) of the CFPA,
12 U.S.C. § 5497(d).
65. Respondent, for all purposes, must treat the civil money penalty paid under
this Consent Order as a penalty paid to the government. Regardless of how

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the Bureau ultimately uses those funds, Respondent may not:

a. Claim, assert, or apply for a tax deduction, tax credit, or any other tax benefit for any civil money penalty paid under this Consent Order; or
b. Seek or accept, directly or indirectly, reimbursement or indemnification from any source, including but not limited to payment made under any insurance policy, in relation to any civil money penalty paid under this Consent Order.

66. To preserve the deterrent effect of the civil money penalty in any Related Consumer Action, Respondent may not argue that Respondent is entitled to, nor may Respondent benefit by, any offset or reduction of any compensatory monetary remedies imposed in the Related Consumer Action because of the civil money penalty paid in this action or because of any payment that the Bureau makes from the Civil Penalty Fund. If the court in any Related Consumer Action offsets or otherwise reduces the amount of compensatory monetary remedies imposed against Respondent based on the civil money penalty paid in this action or based on any payment that the Bureau makes from the Civil Penalty Fund, Respondent must, within 30 days after entry of a final order granting such offset or reduction, notify the Bureau, and pay the amount of the offset or reduction to the U.S. Treasury. Such a payment will not be considered an additional civil money penalty and will not change the amount of the civil money penalty imposed in this action.

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# IX.

# Additional Monetary Provisions

**IT IS FURTHER ORDERED** that:

67. In the event of any default on Respondent's obligations to make payment under this Consent Order, interest, computed under 28 U.S.C. § 1961, as amended, will accrue on any outstanding amounts not paid from the date of default to the date of payment, and immediately become due.

68. Respondent must relinquish all dominion, control, and title to the funds paid to the fullest extent permitted by law and no part of the funds may be returned to Respondent.

69. Under 31 U.S.C. § 7701, Respondent, unless already done, must furnish to the Bureau its taxpayer-identification numbers, which may be used for purposes of collecting and reporting on any delinquent amount arising out of this Consent Order.

70. Within 30 days of the entry of a final judgment, consent order, or settlement in a Related Consumer Action, Respondent must notify the Enforcement Director of the final judgment, consent order, or settlement in writing, indicating the amount of redress, if any, that Respondent paid or is required to pay to consumers and describe the consumers or classes of consumers to whom that redress has been or will be paid.

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# X.

# **Order Distribution and Acknowledgment**

# **IT IS FURTHER ORDERED** that:

71. Within 7 days of the Effective Date, Respondent must submit to the Regional Director an acknowledgment of receipt of this Consent Order, sworn under penalty of perjury.

72. Within 30 days of the Effective Date, Respondent must deliver a copy of this Consent Order to each of the members of its Board and executive officers, as well as to any business leaders and managers who have responsibilities related to the subject matter of the Consent Order.

73. During the term of this Consent Order, Respondent must deliver a copy of this Consent Order to any business entity resulting from any change in business structure, to any future members of its Board and executive officers, as well as to any business leaders and managers who have responsibilities related to the subject matter of the Consent Order.

74. Respondent must secure a signed and dated statement acknowledging receipt of a copy of this Consent Order, ensuring that any electronic signatures comply with the requirements of the E-Sign Act, 15 U.S.C. § 7001 *et seq.*, within 30 days of delivery, from all persons receiving a copy of this Consent Order under this Section.

75. Within 90 days of the Effective Date, Respondent must provide the Regional

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Director with a list of all persons and their titles to whom this Consent Order was delivered through that date under paragraphs 72-73 and a copy of all signed and dated statements acknowledging receipt of this Consent Order under paragraph 74.

# XI.

# Recordkeeping

IT IS FURTHER ORDERED that:

76. Respondent must create, or if already created, must retain for the duration of this Consent Order, the following business records:

a. all documents and records necessary to demonstrate full compliance with each provision of this Consent Order, including all submissions to the Bureau;

b. all documents and records pertaining to the requirements of this Consent Order.

77. Respondent must make the documents identified in paragraph 76 available to the Bureau upon the Bureau's request.

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# **XII.**

# **Notices**

# **IT IS FURTHER ORDERED** that:

78. Unless otherwise directed in writing by the Bureau, Respondent must provide all submissions, requests, communications, or other documents relating to this Consent Order in writing, with the subject line, “*In re Wells Fargo Bank, N.A.*, File No. 2022-CFPB-0011” and send them by overnight courier or first-class mail to the below address and contemporaneously by email or secure electronic transmission to Enforcement_Compliance@cfpb.gov:

Assistant Director for Enforcement  
Consumer Financial Protection Bureau  
ATTENTION: Office of Enforcement  
1700 G Street, N.W.  
Washington D.C. 20552

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# XIII.

# Cooperation with the Bureau

**IT IS FURTHER ORDERED** that:

79. Respondent must cooperate fully to help the Bureau determine the identity and location of, and the amount of harm sustained by, each Affected Consumer. Respondent must provide such information in its possession or control within 30 days of receiving a written request from the Bureau.

80. Respondent must cooperate fully with the Bureau in this matter and in any investigation related to or associated with the conduct described or released in this Order. Respondent must provide truthful and complete information, evidence, and testimony. Respondent must cause Respondent's officers, employees, representatives, or agents to appear for interviews, discovery, hearings, trials, and any other proceedings that the Bureau may reasonably request upon 10 days written notice, or other reasonable notice, at such places and times as the Bureau may designate, without the service of compulsory process.

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# XIV.

# Compliance Monitoring

IT IS FURTHER ORDERED that:

81. Within 14 days of receipt of a written request from the Bureau, Respondent must submit requested information, which must be made under penalty of perjury; provide sworn testimony; or produce documents.
82. Respondent must permit Bureau representatives to interview any employee or other person affiliated with Respondent who has agreed to such an interview regarding: (a) this matter; (b) anything related to or associated with the conduct described in Section IV; or (c) compliance with the Consent Order. The person interviewed may have counsel present.
83. For each of the Specified Acts and Practices, Respondent, where necessary and appropriate and consistent with its enterprise-wide Issue Management Program, must address the issue that resulted in harm to customers that required customer remediation. The Bureau may require Respondent to show how it has addressed (or will address) the relevant issue, by requesting compliance or remediation plans, or through other supervisory requests.
84. Nothing in this Consent Order will limit the Bureau's lawful use of civil investigative demands under 12 C.F.R. § 1080.6 or other compulsory process.

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# XV.

# Modifications to Non-Material Requirements

IT IS FURTHER ORDERED that:

85. Respondent may seek a modification to non-material requirements of this Consent Order (e.g., reasonable extensions of time and changes to reporting requirements) by submitting a written request to the Enforcement Director.
86. The Enforcement Director may, in their discretion, modify any non-material requirements of this Consent Order (e.g., reasonable extensions of time and changes to reporting requirements) if they determine good cause justifies the modification. Any such modification by the Enforcement Director must be in writing.

# XVI.

# Administrative Provisions

IT IS FURTHER ORDERED that:

87. The provisions of this Consent Order do not bar, estop, or otherwise prevent the Bureau from taking any other action against Respondent, except as described in paragraph 88 below. Further, for the avoidance of doubt, the provisions of this Consent Order do not bar, estop, or otherwise prevent any other person or governmental agency from taking any action against Respondent.
88. The Bureau releases and discharges Respondent from all potential liability

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for law violations that the Bureau has or might have asserted based on the Specified Acts and Practices, to the extent such practices occurred before the Effective Date and the Bureau knows about them as of the Effective Date. The Bureau may use the Specified Acts and Practices in future enforcement actions against Respondent and its affiliates to establish a pattern or practice of violations or the continuation of a pattern or practice of violations or to calculate the amount of any penalty. This release does not preclude or affect any right of the Bureau to determine and ensure compliance with the Consent Order, or to seek penalties for any violations of the Consent Order.

89. This Consent Order is intended to be, and will be construed as, a final Consent Order issued under § 1053 of the CFPA, 12 U.S.C. § 5563, and expressly does not form, and may not be construed to form, a contract binding the Bureau or the United States.

90. Unless the Bureau or its designated agent terminates it earlier, this Consent Order will terminate on the earlier of: (i) 180 days after the date on which Respondent confirms in writing that it has completed all committed actions under this Consent Order, unless the Bureau indicates in writing prior to the running of the 180 days that Respondent has not completed all committed actions to its satisfaction; or (ii) three years from the Effective Date. The Consent Order will otherwise remain effective and enforceable until such

30

2022-CFPB-0011 Document 1 Filed 12/20/2022 Page 31 of 32

time, except to the extent that any provisions of this Consent Order have been amended, suspended, waived, or terminated in writing by the Bureau or its designated agent.

91. Calculation of time limitations will run from the Effective Date and be based on calendar days, unless otherwise noted. Deadlines that fall on a weekend or federal holiday shall carry over to the following business day.

92. Should Respondent seek to transfer or assign all or part of its operations that are subject to this Consent Order, Respondent must, as a condition of sale, obtain the written agreement of the transferee or assignee to comply with all applicable provisions of this Consent Order.

93. The provisions of this Consent Order will be enforceable by the Bureau. For any violation of this Consent Order, the Bureau may impose the maximum amount of civil money penalties allowed under §1055(c) of the CFPA, 12 U.S.C. § 5565(c). In connection with any attempt by the Bureau to enforce this Consent Order in federal district court, the Bureau may serve Respondent wherever Respondent may be found, and Respondent may not contest that court’s personal jurisdiction over Respondent.

94. This Consent Order and the accompanying Stipulation contain the complete agreement between the parties. The parties have made no promises, representations, or warranties other than what is contained in this Consent Order and the accompanying Stipulation. This Consent Order and the

31

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accompanying Stipulation supersede any prior oral or written communications, discussions, or understandings, provided however that nothing in this paragraph 94 shall affect the validity of supervisory communications between the Bureau and Respondent.

95. Nothing in this Consent Order or the accompanying Stipulation may be construed as allowing Respondent, its Board, officers, or employees to violate any law, rule, or regulation.

**IT IS SO ORDERED**, this 20th day of December, 2022.

Rohit Chopra
Director
Consumer Financial Protection Bureau

32

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Disciplinary Information - Firm Regulatory Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

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# **Disclosure Questions**

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# **Regulatory Case Information**

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# **REGULATORY INFORMATION**

Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# **CASE INFORMATION**

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×

- Case Number:
- Case Status:
- Were any of the following sanctions imposed?:

## Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

REGULATORY ACTION INITIATED BY: OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC)  
RELIEF SOUGHT: CIVIL AND ADMINISTRATIVE PENALTIES/FINES OF \$500,000,000.00, RESTITUTION, DISGORGEMENT,  
CEASE AND DESIST  
PRINCIPAL PRODUCT: BANKING PRODUCTS (OTHER THAN CD(S))  
FORMAL ACTION: AA-EC-2018-15 & AA-EC-2018-16

### DESCRIBE ALLEGATIONS:

WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT OR CONCLUSIONS OF LAW, THE BANK CONSENTED TO THE ISSUANCE OF AN ORDER IN WHICH THE CFPB FOUND THAT THE BANK ENGAGED IN UNFAIR ACTS OR PRACTICES IN VIOLATION OF SECTIONS 1031(C) AND 1036(A)(1)(B) OF THE CONSUMER FINANCIAL PROTECTION ACT OF 2010 (CFPA) FOR CERTAIN SPECIFIED ACTS AND PRACTICES RELATED TO: (1) THE BANK'S FAILURE TO FOLLOW THE MORTGAGE-INTEREST-RATE-LOCK PROCESS IT EXPLAINED TO SOME PROSPECTIVE BORROWERS; AND (2) THE BANK'S FORCE-PLACED AUTOMOBILE COLLATERAL PROTECTION INSURANCE (CPI) PROGRAM. IN ADDITION TO ORDERING THE BANK

## Supporting Documentation

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# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

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# **Disclosure Questions**

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# **Regulatory Case Information**

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON DECEMBER 8, 2011, THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY ENTERED A FINAL JUDGMENT AS TO DEFENDANT WACHOVIA BANK IN THE MATTER OF SECURITIES AND EXCHANGE COMMISSION V. WACHOVIA BANK, N.A., NOW KNOWN AS WELLS FARGO BANK N.A., SUCCESSOR BY MERGER, WHICH, AMONG OTHER THINGS, RESTRAINED AND ENJOINED WACHOVIA BANK AND ITS EMPLOYEES FROM VIOLATING SECTION 17(A) OF THE SECURITIES ACT OF 1933 IN CONNECTION WITH THE OFFER OR SALE OF SECURITIES. THE ORDER WAS ENTERED IN CONNECTION WITH A SETTLEMENT OF ALLEGATIONS THAT WACHOVIA BANK HAD VIOLATED THE ANTITRUST LAWS OF THE UNITED STATES BY ALLEGEDLY ENGAGING IN BID-RIGGING RELATED TO THE REINVESTMENT OF MUNICIPAL BOND PROCEEDS. WACHOVIA BANK NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. A NUMBER OF OTHER FINANCIAL INSTITUTIONS ALSO AGREED TO SIMILAR SETTLEMENTS. IN ADDITION, ON DECEMBER 8, 2011, WACHOVIA BANK ENTERED INTO A NON-PROSECUTION AGREEMENT WITH THE UNITED STATES DEPARTMENT OF JUSTICE (THE 'DOJ'). IN THE AGREEMENT, THE DOJ AGREED NOT TO PROSECUTE WACHOVIA BANK FOR VIOLATIONS OF THE ANTITRUST LAWS; WHICH WACHOVIA BANK ACKNOWLEDGED CERTAIN OF ITS EMPLOYEES HAD COMMITTED. WACHOVIA AGREED THAT IT WOULD, AMONG OTHER THINGS, NOT VIOLATE ANY PROVISION OF FEDERAL CRIMINAL LAW FOR A PERIOD OF A

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION

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Regulatory Case Information

REGULATORY INFORMATION

Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

- Case Number:
- Case Status:
- Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON APRIL 24, 2008, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ('OCC') AND WACHOVIA BANK, NATIONAL ASSOCIATION, A BANK THAT SUBSEQUENTLY MERGED INTO WELLS FARGO BANK IN MARCH 2010, ENTERED INTO A CONSENT ORDER FOR A CIVIL MONEY PENALTY AS A RESULT OF WACHOVIA BANK'S ACCOUNT RELATIONSHIP WITH A PAYMENT PROCESSOR FOR TELEMARKETERS. AS PART OF THAT ACCOUNT RELATIONSHIP, WACHOVIA BANK PROCESSED REMOTELY CREATED CHECKS GENERATED BY CERTAIN TELEMARKETERS, WHICH WERE CUSTOMERS OF WACHOVIA BANK'S PAYMENT PROCESSOR CUSTOMER, FROM INFORMATION OBTAINED FROM CONSUMERS. IN CONNECTION WITH ITS HANDLING OF THE ACCOUNT ACTIVITIES OF THE PAYMENT PROCESSORS AND DIRECT TELEMARKETERS, THE OCC FOUND THAT THE BANK ENGAGED IN UNFAIR PRACTICES IN VIOLATION OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT, 15 U.S.C. SECTION 45(A)(1). WACHOVIA BANK PAID A CIVIL MONEY PENALTY AND PROVIDED REMEDIATION TO CONSUMERS ALLEGED TO HAVE BEEN HARMED BY THE TELEMARKETERS.

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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Disciplinary Information - Firm Regulatory Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for *each action on a separate DMP*.

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# **Disclosure Questions**

**Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.**

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# **Regulatory Case Information**

# REGULATORY INFORMATION

➤ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# CASE INFORMATION

- ➤ Case Number:
- ➤ Case Status:
- ➤ Were any of the following sanctions imposed?:

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

REGULATORY ACTION INITIATED BY: BUREAU OF CONSUMER FINANCIAL PROTECTION
RELIEF SOUGHT: CIVIL AND ADMINISTRATIVE PENALTIES/FINES OF $500,000,000.00, RESTITUTION, DISGORGEMENT, CEASE AND DESIST

PRINCIPAL PRODUCT: BANKING PRODUCTS (OTHER THAN CD(S))

FORMAL ACTION: 2018-BCFP-0001

DESCRIBE ALLEGATIONS:

WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT OR CONCLUSIONS OF LAW, THE BANK CONSENTED TO THE ISSUANCE OF AN ORDER IN WHICH THE CFPB FOUND THAT THE BANK ENGAGED IN UNFAIR ACTS OR PRACTICES IN VIOLATION OF SECTIONS 1031(C) AND 1036(A)(1)(B) OF THE CONSUMER FINANCIAL PROTECTION ACT OF 2010 (CFPA) FOR CERTAIN SPECIFIED ACTS AND PRACTICES RELATED TO: (1) THE BANK'S FAILURE TO FOLLOW THE MORTGAGE-INTEREST-RATE-LOCK PROCESS IT EXPLAINED TO SOME PROSPECTIVE BORROWERS; AND (2) THE BANK'S FORCE-PLACED AUTOMOBILE COLLATERAL PROTECTION INSURANCE (CPI) PROGRAM. IN ADDITION TO ORDERING THE BANK

![img-0.jpeg](img-0.jpeg)

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for *each action on a separate DMP*.

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# **Disclosure Questions**

**Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.**

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# **Regulatory Case Information**

# **REGULATORY INFORMATION**

➤ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# **CASE INFORMATION**

- ➤ Case Number:
- ➤ Case Status:
- ➤ Were any of the following sanctions imposed?:

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON JUNE 16, 2015, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC") ISSUED CONSENT ORDER # 2015-067 TO WELLS FARGO BANK, N.A. ("BANK"), AMENDING TWO PRIOR OCC CONSENT ORDERS AA-EC-11-19 AND # 2013-132, ALL RELATING TO RESIDENTIAL MORTGAGE SERVICING. THE BANK NEITHER ADMITTED NOR DENIED ANY WRONGDOING WITH

RESPECT TO THE FINDINGS IN THE CONSENT ORDER. THE CONSENT ORDER AMENDED PROVISIONS OF THE PRIOR ORDERS RELATING TO A COMPLIANCE COMMITTEE, COMPREHENSIVE ACTION PLAN, COMPLIANCE PROGRAM, MANAGEMENT INFORMATION SYSTEMS AND RESIDENTIAL MORTGAGE SERVICING. THE BANK WAS ALSO RESTRICTED FROM PERFORMING AND/OR EXPANDING CERTAIN LISTED TYPES OF RESIDENTIAL MORTGAGE SERVICING ACTIVITIES PENDING FURTHER ACTION BY THE BANK AND ASSESSMENT BY THE OCC.

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION

All the DMP section data has been loaded.

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Amend

Disclosure Questions

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Regulatory Case Information

REGULATORY INFORMATION

Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

- Case Number:
- Case Status:
- Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON MAY 4, 2015, THE CITY ATTORNEY OF LOS ANGELES, CALIFORNIA FILED A CIVIL ACTION IN THE SUPERIOR COURT OF THE STATE OF CALIFORNIA FOR THE COUNTY OF LOS ANGELES ENTITLED PEOPLE OF THE STATE OF CALIFORNIA V. WELLS FARGO & COMPANY AND WELLS FARGO BANK, N.A., RELATING TO WELLS FARGO'S RETAIL BANKING OPERATIONS. THE COMPLAINT ALLEGES THAT WELLS FARGO PERSONNEL ENGAGED IN VARIOUS ALLEGEDLY IMPROPER ACTS AND PRACTICES DESIGNED TO MEET SALES GOALS AND QUOTAS, SUCH AS OPENING ACCOUNTS WITHOUT CUSTOMER AUTHORIZATION, MISREPRESENTING THAT CERTAIN PRODUCTS WERE AVAILABLE ONLY IN PACKAGES WITH OTHER PRODUCTS, MISUSING CUSTOMER DATA IN CONNECTION WITH THE FOREGOING, AND NOT DISCLOSING SUCH ALLEGED MISUSE TO CUSTOMERS. THE COMPLAINT ALLEGES THAT CUSTOMERS WERE HARMED BY, AMONG OTHER THINGS, INCURRING UNAUTHORIZED FEES. THE COMPLAINT ASSERTS CLAIMS UNDER CALIFORNIA BUSINESS & PROFESSIONS CODE § 17200, AND SEEKS AN INJUNCTION, DISGORGEMENT, CIVIL PENALTIES, COSTS, AND UNSPECIFIED OTHER RELIEF. WELLS FARGO HAS ANSWERED THE COMPLAINT BY DENYING ITS MATERIAL ALLEGATIONS AND ASSERTING VARIOUS AFFIRMATIVE DEFENSES, AND INTENDS VIGOROUSLY TO DEFEND AGAINST THE LAWSUIT.

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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Disciplinary Information - Firm Regulatory Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for *each action on a separate DMP*.

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# **Disclosure Questions**

**Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.**

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# **Regulatory Case Information**

# **REGULATORY INFORMATION**

➔ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# **CASE INFORMATION**

- ➔ Case Number:
- ➔ Case Status:
- ➔ Were any of the following sanctions imposed?:

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON JUNE 3, 2015, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC") ISSUED CONSENT ORDERS # 2015-048 AND # 2015-051 TO WELLS FARGO BANK, N.A. ("BANK"), FINDING THAT THE BANK HAD ENGAGED IN UNFAIR AND DECEPTIVE MARKETING PRACTICES WITH REGARD TO IDENTITY PROTECTION AND DEBT CANCELLATION PRODUCTS THAT RESULTED IN

VIOLATIONS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT. THE BANK NEITHER ADMITTED NOR DENIED THE FINDINGS. THE BANK WAS REQUIRED TO CEASE AND DESIST FROM VIOLATION OF SECTION 5 OF THE FTC ACT, PAY A CIVIL MONEY PENALTY OF $4,000,000 (PAID), MAKE REIMBURSEMENTS TO CONSUMERS AFTER A PLAN WAS DEVELOPED, AND ADDRESS MANAGEMENT OF THIRD-PARTIES PROVIDING SERVICES TO CONSUMERS.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Amend

# **Disclosure Questions**

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

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# **Regulatory Case Information**

# REGULATORY INFORMATION

Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# CASE INFORMATION

- Case Number:
- Case Status:
- Were any of the following sanctions imposed?:

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

WELLS FARGO BANK, N.A., MUNICIPAL PRODUCTS GROUP

1. ACTION INITIATED BY: SECURITIES AND EXCHANGE COMMISSION (SEC)
2. RELIEF SOUGHT: CEASE AND DESIST, MONETARY FINE OF $440,000.00

3. FORMAL ACTION: CASE NUMBER 3-17096
4. WELLS FARGO BANK, N.A., MUNICIPAL PRODUCTS GROUP
5. DESCRIBE ALLEGATIONS: THE SECURITIES AND EXCHANGE COMMISSION (SEC) ALLEGED WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP (WFBNA MPG) CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN WFBNA MPG OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE SEC ALLEGES WFBNA MPG WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933.
6. HOW WAS MATTER RESOLVED: CONSENT

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

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Regulatory Case Information

REGULATORY INFORMATION

❓ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

❓ Case Number:
❓ Case Status:
❓ Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE CALIFORNIA DEPARTMENT OF INSURANCE FILED A DISCIPLINARY ACTION FOR ALLEGED IMPROPER SALES PRACTICES BETWEEN 2008 AND 2016 CONCERNING THE BANK'S ONLINE INSURANCE REFERRAL PROGRAM FOR RENTERS AND SIMPLIFIED-ISSUE TERM LIFE INSURANCE. THE INSURANCE PRODUCTS WERE OFFERED BY REFERRAL THROUGH THIRD-

PARTY CARRIERS AMERICAN MODERN INSURANCE GROUP, ASSURANT, GREAT WEST FINANCIAL, AND PRUDENTIAL INSURANCE COMPANY. THE CALIFORNIA DEPARTMENT OF INSURANCE ALLEGES THAT WELLS FARGO'S ACTIONS ARE GROUNDS FOR SUSPENDING OR REVOKING THE INSURANCE LICENSES FOR WELLS FARGO BANK, N.A. AND WELLS FARGO INSURANCE, INC.

THE ACTION IS PENDING AND WE WILL FILE AN UPDATE WHEN THERE IS A RESOLUTION.

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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Disciplinary Information - Firm Regulatory Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for *each action on a separate DMP*.

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# **Disclosure Questions**

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# **Regulatory Case Information**

# **REGULATORY INFORMATION**

❓ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# **CASE INFORMATION**

- ❓ Case Number:
- ❓ Case Status:
- ❓ Were any of the following sanctions imposed?:

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON FEBRUARY 4, 2003, THE CALIFORNIA CORPORATIONS COMMISSIONER (HEREAFTER "THE COMMISSIONER") INITIATED AN ADMINISTRATIVE PROCEEDING, IN THE MATTER OF THE ACCUSATION OF THE CALIFORNIA CORPORATIONS COMMISSIONER V. WELLS FARGO HOME MORTGAGE, INC., TO REVOKE THE RESIDENTIAL MORTGAGE LENDER AND

RESIDENTIAL MORTGAGE LOAN SERVICER LICENSE (HEREAFTER 'LICENSE') OF WELLS FARGO HOME MORTGAGE, INC. (HEREAFTER 'WFHM'), A SUBSIDIARY THAT SUBSEQUENTLY MERGED INTO WELLS FARGO BANK, N.A. ON MAY 8, 2004. THE ADMINISTRATIVE PROCEEDING WAS INITIATED AFTER WFHM DID NOT RESPOND TO THE COMMISSIONER'S DEMANDS TO CONDUCT A SELF-AUDIT AND INSTEAD FILED A CIVIL LAWSUIT IN THE U.S. DISTRICT COURT FOR THE EASTERN DISTRICT OF CALIFORNIA, WELLS FARGO BANK V. BOUTRIS, ALLEGING THAT THE COMMISSIONER'S JURISDICTION WAS PREEMPTED BY FEDERAL LAW.

ON MARCH 10, 2003, THE DISTRICT COURT ISSUED AN ORDER ENJOINING THE COMMISSIONER FROM EXERCISING VISITORIAL POWERS OVER WFHM OR OTHERWISE PREVENTING WFHM FROM OPERATING IN CALIFORNIA, BASED UPON

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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Disciplinary Information - Firm Regulatory Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for *each action on a separate DMP*.

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# **Disclosure Questions**

**Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.**

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# **Regulatory Case Information**

# REGULATORY INFORMATION

➤ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

# CASE INFORMATION

- ➤ Case Number:
- ➤ Case Status:
- ➤ Were any of the following sanctions imposed?:

# **Comments**

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON OCTOBER 9, 2012, A COMPLAINT, CAPTIONED UNITED STATES OF AMERICA V. WELLS FARGO BANK, N.A. WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK (12 CIV 7527) ALLEGING THAT WELLS FARGO HAD VIOLATED THE FEDERAL FALSE CLAIMS ACT AND THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND

ENFORCEMENT ACT. THE COMPLAINT ALLEGES THAT SOME FHA MORTGAGES ORIGINATED BY WELLS FARGO BANK AND INSURED BY FHA FROM 2001 - 2010 DID NOT QUALIFY FOR THE PROGRAM, WHICH THE BANK ALLEGEDLY KNEW, AND THEREFORE THE BANK SHOULD NOT HAVE RECEIVED INSURANCE PROCEEDS FROM FHA WHEN A SUBSET OF THOSE LOANS LATER DEFAULTED. WELLS FARGO DISPUTES THE ALLEGATIONS AND, ON NOVEMBER 16, 2012, THE BANK FILED A MOTION TO DISMISS THE COMPLAINT. IF THE COURT WERE TO MAKE FINDINGS AGAINST WELLS FARGO BANK BASED ON THE ALLEGATIONS OF THE COMPLAINT, IT WOULD REQUIRE AN AFFIRMATIVE RESPONSE TO QUESTION E.

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION

Please wait while we load all the DMP section data...

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

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Regulatory Case Information

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE CALIFORNIA DEPARTMENT OF INSURANCE FILED A DISCIPLINARY ACTION FOR ALLEGED IMPROPER SALES PRACTICES BETWEEN 2008 AND 2016 CONCERNING THE BANK'S ONLINE INSURANCE REFERRAL PROGRAM FOR RENTERS AND SIMPLIFIED-ISSUE TERM LIFE INSURANCE. THE INSURANCE PRODUCTS WERE OFFERED BY REFERRAL THROUGH THIRD-PARTY CARRIERS AMERICAN MODERN INSURANCE GROUP, ASSURANT, GREAT WEST FINANCIAL, AND PRUDENTIAL INSURANCE COMPANY. THE CALIFORNIA DEPARTMENT OF INSURANCE ALLEGES THAT WELLS FARGO'S ACTIONS ARE GROUNDS FOR SUSPENDING OR REVOKING THE INSURANCE LICENSES FOR WELLS FARGO BANK, N.A. AND WELLS FARGO INSURANCE, INC.

ON JANUARY 2, 2019, WELLS FARGO BANK, N.A. AND WELLS FARGO INSURANCE, INC. SETTLED WITH THE CALIFORNIA DEPARTMENT OF INSURANCE. THE SETTLEMENT INCLUDED A TOTAL SETTLEMENT AMOUNT OF $10,345,816 AS WELL AS CEASE TRANSACTING NEW BUSINESS IN CALIFORNIA, MAY CONTINUE TO RECEIVE COMMISSIONS AND PROVIDE SERVICES FOR EXISTING BUSINESS, UNTIL LICENSES EXPIRES FOR WFBNA ON SEPTEMBER 30, 2020, AND WFI, INC. ON JULY 31, 2020. UPON EXPIRATION NEITHER SHALL APPLY FOR INSURANCE LICENSES FOR A PERIOD OF NO LESS THAN 2

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Disclosure Questions

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Regulatory Case Information

REGULATORY INFORMATION

Regulatory/Civil Action initiated by:
OTHER FEDERAL AGENCY Name of Regulatory Body: UNITED STATES DEPARTMENT OF JUSTICE

CASE INFORMATION

Case Number: NONE
Case Status: FINAL
Date Resolved:
FEBRUARY 2020
Were any of the following sanctions imposed?:
Other: CIVIL MONEY PENALTY

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

On February 21, 2020, Wells Fargo & Company ("WFC"), the ultimate parent of Wells Fargo Bank, N.A. ("WFBNA"), entered into settlement agreements with the U.S. Department of Justice ("DOJ") and the Securities and Exchange Commission ("SEC") to resolve these agencies' investigations into WFC's historical Community Bank sales practices and related disclosures. With respect to the DOJ, WFC and WFBNA entered into a settlement agreement with the Civil Division of the DOJ and the United States Attorney's Office for the Central District of California and a deferred prosecution agreement with the United States Attorney's Offices for the Central District of California and the Western District of North Carolina related to the sales practices conduct and agreed to pay a monetary penalty of $2.5 billion. WFC accepted and acknowledged responsibility for facts and conduct described in the deferred prosecution agreement, and no charges will be filed against WFC provided that WFC abides by all the terms of the agreement. With respect to the SEC, WFC (but not WFBNA) consented to the entry of a cease and desist order, which found that WFC violated Section 10(b) of the Exchange Act of 1934 (the "Exchange Act") and Rule 10b-5 thereunder, and agreed to pay a civil penalty of $500 million and to be enjoined from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. WFC also agreed to engage outside experienced securities counsel to conduct an assessment of the Regulation D policies and procedures of WFC and certain of its subsidiaries and to present to the SEC on the implementation of recommendations made by outside counsel.

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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| Description | Uploaded File |
| --- | --- |
| DOJ ORDER | WFC DOJ Order.pdf |
| SEC ORDER | WFC SEC Order.pdf |

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Disciplinary Information - Firm Regulatory Disclosure Matter Page

# **NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION**

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Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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# **Disclosure Questions**

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# **Regulatory Case Information**

# REGULATORY INFORMATION

Regulatory/Civil Action initiated by:

OTHER SELF-REGULATORY ORGANIZATION Name of Regulatory Body: OFFICE OF COMPTROLLER OF THE CURRENCY (OCC)

# CASE INFORMATION

Case Number: AA-ENF-2021-29 & AA-ENF-2021-20

Case Status: FINAL

Date Resolved:

SEPTEMBER 2021

Were any of the following sanctions imposed?:

Other: CIVIL AND ADMINISTRATIVE PENALTIES/FINES, UNDERTAKING

## Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

WITHOUT ADMITTING LIABILITY, THE BANK CONSENTED TO CONSENT AGREEMENTS IN WHICH THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) ALLEGED THE BANK ENGAGED IN (1) UNSAFE or UNSOUND PRACTICES RELATED TO LOSS MITIGATION ACTIVITIES AND INADEQUATE INDEPENDENT RISK MANAGEMENT AND INTERNAL AUDIT OF THE LOSS MITIGATION AND (2) VIOLATIONS COVERED UNDER THE 2018 CONSENT ORDER, AA-EC-2018-15.WELLS FARGO BANK, N.A. AGREED TO PAY A CIVIL MONEY PENALTY OF $250,000,000. TO THE OCC UPON ACCEPTANCE OF THE CONSENT AGREEMENT AND WITHIN 150 DAYS PROVIDE THE OCC EXAMINER-IN-CHARGE A WRITTEN ACCEPTABLE ACTION PLAN FOR REMEDIAL ACTIONS UNDER THE AGREEMENT.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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| Description | Uploaded File |
| --- | --- |
| BD DRP FILING | WFS DRP for OCC Consent Undertaking 91521.pdf |
| CONSENT ORDER 1 | WFBNA Consent Order OCC 91021 1.pdf |
| CONSENT ORDER 2 | WFBNA Consent Order OCC 91021 2.pdf |

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# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0399337 - WELLS FARGO BANK NATIONAL ASSOCIATION

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Regulatory Case Information

REGULATORY INFORMATION

Regulatory/Civil Action initiated by:
OTHER FEDERAL AGENCY Name of Regulatory Body: U.S. ATTORNEY'S OFFICE FOR THE SOUTHERN DISTRICT OF NEW YORK

CASE INFORMATION

- Case Number: 1:21-CV-08007
- Case Status: FINAL
- Date Resolved:
SEPTEMBER 2021
- Were any of the following sanctions imposed?:
Other: CIVIL PENALTY/FINES, CIVIL ASSET FORFEITURE

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

The United States Attorney's Office for the Southern District of New York alleged that from 2010 through 2017, Wells Fargo Bank, N.A. defrauded 771 commercial customers who used the Bank's FX services by misrepresenting FX pricing levels and engaging in other improper FX pricing practices in violation of the mail fraud, wire fraud, and bank fraud statutes 18 U.S.C. §§ 1341, 1343, 1344.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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| Description | Uploaded File |
| --- | --- |
| COMPLAINT | US v WF FIRREA Complaint 21cv08007 filed 9272021.pdf |
| FINRA DRP FILING | WFS FX filing Form BD DRP filing Final 92921.pdf |
| SETTLEMENT | US v WF Settlement Stipulation with WF 21cv 08007 filed 9272021.pdf |

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**Attachment 7:** `Changes.pdf`

![Wells Fargo logo]()

Tinnetta Church
Compliance Specialist

Wells Fargo Securities, LLC
MAC D1050-064
401 S Tryon St.
6th Floor
Charlotte, NC 28202
Cell: 980-215-4622

February 10, 2023

U.S Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549

Re: Wells Fargo Bank, N.A
SBSE A/A Summary of changes

1. Regulatory DMP 18844 added to Form 7R
2. Current 7R was uploaded.
3. Schedule B, item 14 was uploaded with brief description.
4. Schedule B, item 15 was uploaded with brief description.

If any additional information is needed, please feel free to contact me.

Sincerely,

Wells Fargo Bank, N.A

© 2021 Wells Fargo & Company. All rights reserved.

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** WELLS FARGO BANK N A

**NFA Number:** 399337

**IRS Employer ID No.:** 94-1347393

**CIK:** 0000740906

**UIC:** KB1H1DSPRFMYMCUFXT09

**Main Address:** 101 NORTH PHILLIPS AVENUE, SIOUX FALLS, SD, 57104

**Mailing Address:** 101 NORTH PHILLIPS AVENUE, SIOUX FALLS, SD, 57104

**Business Telephone:** 605-575-6900

**Contact Employee:**

- **Name:** Renee Allen

- **Title:** Deputy Chief Compliance Officer

- **Phone:** 704-410-2151

- **Email:** renee.allen@wellsfargo.com

**Chief Compliance Officer:**

- **Name:** Peter Macchio

- **Title:** Chief Compliance Officer

- **Phone:** 212-214-1109

- **Email:** Peter.Macchio@wellsfargo.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Office of the Comptroller of the Currency

**Description of Business:**
Wells Fargo Bank, National Association is a federally chartered bank.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** Yes

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 29

### Schedule A: Principals

| Name                     | Title or Status                                | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Renee Allen              | Head of a business unit, division or function  | 12/2012         | 09/1994              |  |       427544 |
| Nicholas William Bennett | Head of a business unit, division or function  | 03/2021         | 12/2009              |  |       538233 |
| Benjamin Thomas Bonner   | Head of business unit, division or function    | 05/2014         | 06/2001              |  |       477406 |
| Mark Alan Chancy         | Director                                       | 10/2020         | 08/2020              |  |       303002 |
| James Howard Clingham    | Head of a business unit, division or function  | 03/2021         | 12/2018              |  |       537300 |
| Theodore F Craver        | Director                                       | 08/2019         | 12/2017              |  |       200242 |
| Mark Jonathan Kohn       | Head of business unit, division or function    | 04/2019         | 07/2013              |  |       300619 |
| Maria Morris             | Director                                       | 10/2019         | 12/2017              |  |       524015 |
| Timothy Paul Mullins     | Head of a business unit, division or function  | 05/2018         | 04/2002              |  |       452535 |
| Alexander Francis Papson | Head of business unit, division or function    | 03/2021         | 04/2011              |  |       537698 |
| Scott E Powell           | Chief Operating Officer                        | 12/2019         | 12/2019              |  |       527366 |
| Juan Pujadas             | Director                                       | 09/2019         | 08/2017              |  |       524035 |
| Michael Santomassimo     | Chief Financial Officer                        | 11/2020         | 10/2020              |  |       534329 |
| Charles William Scharf   | Chief Executive Officer                        | 10/2019         | 10/2019              |  |       288529 |
| Thad Marcus Sharrett     | Head of business unit, division or function    | 10/2020         | 01/1997              |  |       482001 |
| Man Yi Mandy Wan         | Head of business unit, division or function    | 01/2021         | 03/2014              |  |       534066 |
| Jonathan Geoffrey Weiss  | Head of Business unit, division or function    | 04/2021         | 06/2005              |  |       457027 |
| Richard Banks Payne      | Director                                       | 07/2020         | 10/2019              |  |       453848 |
| James William Gnall      | Principal                                      | 12/2021         | 06/2020              |  |       427087 |
| Todd Gerald Primavera    | Head of Business unit, division, or function   | 01/2022         | 11/2005              |  |       544708 |
| Charles Edward Dietz     | Head of a Business Unit, Division or Function  | 03/2022         | 08/2013              |  |       447669 |
| William Joseph Kearns    | head of a Business Unit, Division or Function  | 02/2022         | 09/2013              |  |       546565 |
| James Douglas Marriott   | Head of a Business Unit, Division or Function  | 04/2022         | 09/2021              |  |       547721 |
| Charles Peck             | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION  | 07/2022         | 04/2018              |  |       548924 |
| Christopher Marchal      | Head of a Business Unit, Division, or Function | 09/2022         | 07/2015              |  |       550747 |
| James Patrick Oneill     | Head of a Business Unit, Division, or Function | 10/2022         | 12/2019              |  |       264809 |
| Peter Macchio            | Chief Compliance Officer                       | 10/2022         | 10/2022              |  |       552260 |
| Judith Barry             | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION  | 01/2023         | 07/2017              |  |       244096 |
| Bradford Jack Heitman    | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION  | 12/2022         | 06/2010              |  |       552982 |

### Schedule B: Explanations

**Description:**
Wells Fargo Bank, National Association is a federally chartered bank.

**Records Keeper:**

- **Name:** Iron Mountain Information Management, LLC

  - **Address:** 1 Federal Street, Boston, MA, 02110-2012

  - **Effective Date:** 10-30-2009

  - **Arrangement:** —

- **Name:** RegEd

  - **Address:** 2100 Gateway Centre Blvd, Suite 200, Moorisville, NC, 27560-6228

  - **Effective Date:** 08-23-2019

  - **Arrangement:** —

- **Name:** Cisive

  - **Address:** 5000 Corporate Court, Suite 203, Holtsville, NY, 11742-2010

  - **Effective Date:** 09-15-2021

  - **Arrangement:** —

- **Name:** DTCC ITP, LLC (formerly Omgeo, LLC)

  - **Address:** 55 Thomson Place, Boston, MA, 02210-1244

  - **Effective Date:** 08-16-2010

  - **Arrangement:** —

**Onbehalf:**

- **Name:** J.P. Morgan Securities LLC

  - **Address:** 383 Madison Ave, 11th Floor, New York, NY, 10179-3217

  - **Effective Date:** 06-12-2002

  - **Arrangement:** —

- **Name:** Wells Fargo Securities, LLC.

  - **Address:** 550 S. Tryon Street, 10th Floor, Charlotte, NC, 28202-4200

  - **Effective Date:** 12-21-2016

  - **Arrangement:** —

- **Name:** SG Americas Securities, LLC

  - **Address:** 245 Park Ave, New York, NY, 10167-0002

  - **Effective Date:** 04-20-2017

  - **Arrangement:** —

- **Name:** BGC Financial, L.P.

  - **Address:** One Seaport Plaza, 19th Floor, New York, NY, 10038-3526

  - **Effective Date:** 12-13-2016

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** WFC Holdings, LLC

  - **Address:** 420 Montgomery Street, San Francisco, CA, 94104-1207

  - **Effective Date:** 11-02-1998

  - **Arrangement:** —

- **Name:** Wells Fargo & Company

  - **Address:** 420 Montgomery Street, San Francisco, CA, 94104

  - **Effective Date:** 11-02-1998

  - **Arrangement:** —

### Execution

**Date:** 02-17-2023

**Name of Applicant:** WELLS FARGO BANK N A

**Signature:** Tinnetta Church

**Printed Name:** Tinnetta Church

**Title:** Compliance Specialist