# EDGAR Filing Document

**Accession Number:** 0000740906
**File Stem:** 0000072971-23-000020
**Filing Date:** 2023-1
**Character Count:** 279949
**Document Hash:** bd781aaeac344f5d6882e48d900817c1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000072971-23-000020.hdr.sgml**: 20230125

**ACCESSION NUMBER**: 0000072971-23-000020

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

**PUBLIC DOCUMENT COUNT**: 7

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230125

**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:** 23552209

**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:** `Explanation2.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

January 13, 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. Removed Mark D Jones as a Principal on Schedule
2. Added Judith Barry and Bradford Jack Heitman as a Principal to Schedule A.
3. Current 7R was uploaded.
4. Schedule B, item 14 was uploaded with brief description.
5. 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.

**Attachment 6:** `third7r123.pdf`

[LOGO]

# Entity Profile Information

Viewed on January 13, 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

ANNUAL MEMBERSHIP DUES REQUIRED FOR 2/1/2023

Disciplined Employee Summary

Page 1 of 1

# Business Information

Viewed on January 13, 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

## Location of Business Records

Viewed on January 13, 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

[LOGO]

# Other Names

Viewed on January 13, 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

# Principal Name and Financial Interest

Viewed on January 13, 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

## Principal Information

Viewed on January 13, 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) &amp; 3038-0072 (exp. September 30, 2023)

Page 1 of 6

Viewed on January 13, 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 | 0546565 |
| Name | KEARNS, WILLIAM JOSEPH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |

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

Page 2 of 6

Viewed on January 13, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

| 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 |
| 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 |

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

Page 3 of 6

Viewed on January 13, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION---

| 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 |
| 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 |

---

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

Page 4 of 6

Viewed on January 13, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

| 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 |
| 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 |

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

Page 5 of 6

Viewed on January 13, 2023

NFA ID 0399337 WELLS FARGO BANK NATIONAL ASSOCIATION

Title(s)

10% or More Interest

Status

Effective Date

HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION

No

APPROVED

04-13-2021

### Holding Company Information

NFA ID

Full Name

10% or More Interest

Status

Effective Date

0451284

WFC HOLDINGS LLC

Yes

APPROVED

11-30-2012

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

Page 6 of 6

# Enforcement/Compliance Communication Contact Information

Viewed on January 13, 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 January 13, 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 Contact Information

Viewed on January 13, 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 January 13, 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 January 13, 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

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

## Membership Information

Viewed on January 13, 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

## Non-U.S. Regulator Information

Viewed on January 13, 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 January 13, 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

## Registration Contact Information

Viewed on January 13, 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

# Enforcement/Compliance Communication Contact Information

Viewed on January 13, 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 January 13, 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 Contact Information

Viewed on January 13, 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 January 13, 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 January 13, 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

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

## Membership Information

Viewed on January 13, 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

# Disciplinary Information - Criminal Disclosures

Viewed on January 13, 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 January 13, 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@wfls.futures.org.

+ Add DMP

Current Criminal Disclosure Matter Summary (1 DMP)

Show 100 entries

Search:

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Name | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 16148 | 10/28/2012 | U.S DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY, SEC V. WACHOVIA BANK, N.A., N.K.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 wait while we load all the DMP section data...

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

Back to Summary

**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

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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

![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 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@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.

◀ Back to Summary

# Disciplinary Information - Financial Disclosures

Viewed on January 13, 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 registration@ells.futures.gov.

+ Add DMP

Current Financial Disclosure Matter Summary (1 DMP)

Show 100 entries Search:

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Name | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 16150 | 11/30/2012 | 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

☐ 1

# **Case Information**

# **BANKRUPTCY CASE INFORMATION**

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

# **ADVERSARY CASE INFORMATION**

- ● Court where the adversary action was filed:
- ● Court Location:
- ● Case Number of Adversary Action:
- ● Adversary Action Status:
- ● Adversary Action Final Disposition:
- ● :

# **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.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.

◀ Back to Summary

NFA

# Disciplinary Information - Regulatory Disclosures

Viewed on January 13, 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 January 13, 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 January 13, 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

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Current Regulatory Disclosure Matter Summary (16 DMPs)

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
| L | 17825 | 09/20/2021 | U.S. ATTORNEY'S OFFICE FOR THE SOUTHERN DISTRICT OF NEW YORK 1:23-CV-00007 | FINAL | 9/2021 |  |  |
| G H | 17817 | 09/16/2021 | OFFICE OF COMPTROLLER OF THE CURRENCY (OCC) AA-INT-2021-29 & AA-INT-2021-30 | FINAL | 9/2021 |  |  |
| L | 16954 | 06/15/2020 | UNITED STATES DEPARTMENT OF JUSTICE NONE | FINAL | 2/2020 | 02/20/2020 |  |
|  | 16140 | 06/20/2018 | CA DOJ FINAL LA20160603-AF |  |  |  |  |
|  | 16141 | 06/16/2018 | AUGUST 1, 2018 DOJ SETTLEMENT |  |  |  |  |
|  | 16139 | 05/06/2018 | WELLS FARGO BANK, N.A. CASI 2018-0CFP-0001 |  |  |  |  |
|  | 16136 | 05/06/2018 | WELLS FARGO BANK, N.A. CASI AA-0C-2018-11 & AA-0C-2018-16 |  |  |  |  |
|  | 16146 | 05/06/2018 | CA INSURANCE 2.2018 |  |  |  |  |
|  | 16145 | 02/13/2017 | WELLS FARGO BANK, N.A., MPG SEC CONSENT |  |  |  |  |
|  | 16144 | 07/13/2015 | 8/3/15 OCC CREDIT CARD ADD-ON PRODUCTS CONSENT ORDER |  |  |  |  |
|  | 16143 | 07/13/2015 | 3/4/15 CITY ATTORNEY OF LOS ANGELES RETAIL BANKING LAWSUIT |  |  |  |  |
|  | 16142 | 07/14/2015 | OCC CONSENT ORDER # 2015-067 (RESIDENTIAL MORTGAGE SERVICING) |  |  |  |  |
|  | 16147 | 01/17/2013 | CALIFORNIA DEPARTMENT OF CORPORATIONS |  |  |  |  |
|  | 16138 | 11/20/2012 | OCC AND WACHOVIA BANK, N.A. CONSENT ORDER |  |  |  |  |
|  | 16137 | 11/20/2012 | U.S. DISTRICT COURT FOR THE DISTRICT OF NEW JERSEY |  |  |  |  |
|  | 16149 | 11/20/2012 | UNITED STATES OF AMERICA V. WELLS FARGO BANK, N.A. |  |  |  |  |

Archived Regulatory Disclosure Matter Summary

^

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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

#### 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

![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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## 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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#### 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:

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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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Search:

| 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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# 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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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

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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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# 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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☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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

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

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

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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.

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.

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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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# 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.

Back to Summary

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:

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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.

1. REGULATORY ACTION INITIATED BY: U.S. DEPARTMENT OF JUSTICE
2. PRINCIPAL SANCTION: CIVIL AND ADMINISTRATIVE PENALTIES/FINES
OTHER SANCTIONS: LEAVE BLANK
3. DATE INITIATED: (EXACT) 08/01/2018
4. DOCKET/CASE NUMBER: LEAVE BLANK
5. CONTROL AFFILIATE (EMPLOYING FIRM...): WELLS FARGO BANK, N.A
6. PRINCIPAL PRODUCT TYPE: BANKING PRODUCTS (OTHER THAN CDS)
7. DESCRIBE THE ALLEGATIONS:

WITHOUT ADMITTING LIABILITY, THE BANK CONSENTED TO A CIVIL SETTLEMENT AGREEMENT IN WHICH THE US DOJ ALLEGED THE BANK ENGAGED IN VIOLATIONS COVERED UNDER THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989, 12 U.S.C. § 1833A, RELATED TO REPRESENTATIONS, DISCLOSURES OR NON-

## 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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Online Registration System

# 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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✏️ 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:

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☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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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Online Registration System

# 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.

◀ 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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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.

◀ Back to Summary

Online Registration System

# 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.

◀ 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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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.

◀ Back to Summary

Online Registration System

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.

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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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

![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.

Back to Summary

Online Registration System

# 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.

◀ 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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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.

◀ Back to Summary

Online Registration System

# 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.

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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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.

Back to Summary

Online Registration System

# 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.

◀ 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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

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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## 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:** 01-24-2023

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

**Signature:** Tinnetta Church

**Printed Name:** Tinnetta Church

**Title:** Compliance Specialist