Wells Fargo Investment Institute (WFII)
Individual Market Charts For use With; Clients and Prospects
INSTRUCTIONS ON ASSEMBLING AN INDIVIDUAL MARKET CHART PRESENTATION
The first page of the presentation must be the Market Chartbook Cover page (Market Charts:
Turning Data into Knowledge) which includes the retail non-deposit investment product
(RNDIP)/Not, May, Not disclosure. Chartbook data is updated quarterly. Please check the
effective date on the Cover page to be sure you are assembling the most recent information
available. In Digital Market Charts, this is automatically added as the opening page of
any collection you create.
The final page must be the General Disclosure page which identifies Global Investment Strategy
as a division of WFII and Wells Fargo Advisors as the broker-dealer. In Digital Market
Charts, this is automatically added as the closing page of any collection you
In between the Cover and the General Disclosure pages you may include any individual chart(s)
you decide upon. If a chart contains a separate disclosure page, that page will automatically
accompany the particular chart chosen. For example, if you wish to include the Fixed Income
Scorecard as one of your selected charts, it will automatically be accompanied by the
disclosures on the following page.
For WFA users, after assembling, submit to your Qualified Supervisor for review and approval in compliance with the Communication Compliance Submission process as outlined in your LOB’s CAR Guide. Slides used without alteration and with the proper disclosures need Qualified Supervisor review. They don’t need to go through CAR. For users in other LOBs please follow your LOB review process.
If printed, the chart slides must be printed one per page to ensure that disclosures on the
slides are legible. These pre-approved slides may not be altered in any way or combined onto a