California Department of Corporations-Administrative Consent Order Wells Fargo Investments, LLC - co 2025

1. Click ‘Get Form’ to open the California Department of Corporations-Administrative Consent Order in the editor.
2. Begin by reviewing the introductory section, which outlines the context and purpose of the order. This will help you understand the document's significance.
3. Proceed to the 'Findings of Fact' section. Here, you will find detailed information about Auction Rate Securities (ARS) and Wells Fargo Investments, LLC's marketing practices. Ensure you read this carefully as it sets the foundation for understanding subsequent sections.
4. In the 'Conclusions of Law' section, familiarize yourself with the legal implications and jurisdictional details. This is crucial for grasping how these findings affect WFI's obligations.
5. Finally, navigate to the 'Order' section where specific actions required from WFI are listed. Pay attention to deadlines and compliance requirements outlined here.

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