Sec Rule 606

SEC Rule 606 (Formerly SEC Rule 11Ac1-6)

SEC Rule 11Ac1-6 requires all broker-dealers that place orders in equity and option securities to make publicly available quarterly reports that present an overview of their routing practices.

Wells Nelson uses First Southwest Company as its clearing firm to execute the trades you place with us. To access the quarterly report that presents an overview of the routing practices of First Southwest Company click here.