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Order Regarding Waiver Rule

Wells Fargo Advisors, LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)

Last Reviewed or Updated: Sept. 22, 2014

Resources

Order Regarding Waiver Rule: SEC Issued Version (pdf 14.34 KB)

Details

File Number

3-16153

Rule Type

Order Regarding Waiver

Release Number

33-9649

SEC Issue Date

Sept. 22, 2014

Rules & Regulations

Enforcement & Litigation

Compliance

Wells Fargo Advisors, LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)

Resources

Details

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Wells Fargo Advisors, LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)

Resources

Details