Investing is a highly complex, highly regulated industry. WBB has prepared a series of statements, as required by the NASD, NYSE and SEC.
Please take a moment to review each in detail. These statements provide our brokers and clients with clear, specific discussions on our clients' risks and the regulations our firm operates within.
If
you have any questions, please click here to send
us an email about your issues or questions. We are at your service.
Quarterly reports regarding WBB Securities, LLC’s Order Routing
information in accordance with SEC rule 11Ac1-6 can be obtained in writing
by contacting our offices or via the internet at www.rule6.com
. Currently, WBB Securities, LLC is exempt from SEC rule 11Ac1-5,
Order Execution.
>
Privacy Disclosure
> Margin Disclosure
> WBB Securities Business Continuity Plan Statement
> NFS Business Continuity Plan Statement
> Day Trading Disclosure
> Payment for Order Flow Disclosure
> 15g Penny Stock Disclosure
> USA Patriot Act/Anti-Money Laundering Disclosure
> Characteristics and
Risks of Standardized Options
> Municipal Securities Rulemaking
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