UBS Securities LLC

06/16/2009: FINANCIAL INDUSTRY REGULATORY AUTORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060050722-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2006005072201data-portal.finra.orgfinra.org

11/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028085401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations describe

Reference 2011028085401data-portal.finra.orgfinra.org

01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170166-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2009017016601finra.orgdata-portal.finra.org

11/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053191801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017053191801data-portal.finra.orgfinra.org

11/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130387864-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013038786401data-portal.finra.orgfinra.org

10/03/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016050211701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC (UBS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2016050211701data-portal.finra.orgfinra.org

10/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120327528-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2012032752801data-portal.finra.orgfinra.org

11/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060041450-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC Broker-Dealer CRD No. 7654 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2006004145001data-portal.finra.orgfinra.org

01/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20090209881-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC ("UBSW" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement of the alleged rule violations described below. This

Reference 2009020988101data-portal.finra.orgfinra.org

07/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE1050008 TO: Department of Enforcement NASD RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Securities LLC (UBS Securities" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

Reference CE1050008finra.orgdata-portal.finra.org

09/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033156201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent UBS Securities LLC ("UBS-S" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2012033156201data-portal.finra.orgfinra.org

06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20041000004-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, UBS Securities LLC (the "firm")

Reference 2004100000401data-portal.finra.orgfinra.org

07/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358219-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013035821901data-portal.finra.orgfinra.org

03/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000062-01 TO: Department of Market Regulation NASD RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to Rule 9216 of the NASD Code of Procedure, UBS Securities LLC ("UBSW" or the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below.

Reference 2004200006201data-portal.finra.orgfinra.org

05/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399376-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014039937601finra.orgdata-portal.finra.org

12/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100220936 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC ("UBS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2010022093601finra.orgdata-portal.finra.org

09/24/2014: FINANC1AL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029527601 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2011029527601data-portal.finra.orgfinra.org

01/05/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056154401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2017056154401data-portal.finra.orgfinra.org

12/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120323306-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC ("UBS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2012032330601data-portal.finra.orgfinra.org

02/03/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062435601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019062435601data-portal.finra.orgfinra.org

12/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130382589-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below,

Reference 2013038258901data-portal.finra.orgfinra.org

02/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000143-01 TO: Market Regulation Department NASD RE: UBS Securities, LLC CRD No. 7654 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Securities, LLC ("UBSW") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against UBSW alleging violations

Reference 2004200014301data-portal.finra.orgfinra.org

10/03/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053779201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2017053779201finra.orgdata-portal.finra.org

12/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160500380-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2016050038001data-portal.finra.orgfinra.org

05/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018057401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent UBS Securities LLC ("UBS," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2009018057401data-portal.finra.orgfinra.org

12/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034427001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent CRD No. 8174 UBS Securities LLC, Respondent CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents UBS Financial Services Inc. ("UBSFS") and UBS Securities LLC ("UBSS") submit this Letter of Acceptance, Waiver and

Reference 2012034427001data-portal.finra.orgfinra.org

12/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316413-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2012031641301finra.orgdata-portal.finra.org

03/13/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150440775-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2015044077501data-portal.finra.orgfinra.org

06/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036731601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC ("UBSW"), Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013036731601data-portal.finra.orgfinra.org

12/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112004018901 TO: Department of Enforcement NASD RE: UBS Securities, LLC, Member BD No. 7654 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging violations based on the same factual

Reference E112004018901data-portal.finra.orgfinra.org

10/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030284601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities, LLC, Respondent CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptable, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA

Reference 2011030284601finra.orgdata-portal.finra.org

09/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030806901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents UBS Financial Services Inc. ("UBS Financial") and UBS Securities LLC (''UBS Securities," together with UBS Financial,

Reference 2011030806901data-portal.finra.orgfinra.org

05/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETI'ER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140421908-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC ("UBST" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014042190802finra.orgdata-portal.finra.org

09/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060054507-01 TO: Department of Enforcement Financial Industry Regulatory Authority RE: UBS Securities, LLC CRD 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, UBS Securities, LLC ("UBS") submits this Letter of Acceptance, Waiver and Consent for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA

Reference 2006005450701data-portal.finra.orgfinra.org

05/03/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058781101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018058781101data-portal.finra.orgfinra.org

03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002993-01 TO: Market Regulation Department NASD RE: UBS Securities, LLC CRD No. 7654 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Securities, LLC ("UBSW") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

Reference 2005000299301data-portal.finra.orgfinra.org

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE , WAIVER AND CONSENT NO. 20060059871-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities, LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, UBS Securities, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2006005987101data-portal.finra.orgfinra.org

12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110261865-O1 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent "AWC" for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2011026186501data-portal.finra.orgfinra.org

05/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060047246-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent CRD No, 7654 Pursuant to Rule 9216 of me FINRA Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2006004724601data-portal.finra.orgfinra.org

09/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110360953-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Respondent, UBS Securities LLC, Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2011026095301finra.orgdata-portal.finra.org

10/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080144511 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2008014451101data-portal.finra.orgfinra.org

02/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020110701 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2009020110701data-portal.finra.orgfinra.org

01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO."20080140831-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2008014083102data-portal.finra.orgfinra.org

10/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292901-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2011029290101finra.orgdata-portal.finra.org

09/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017133201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer No. 8174 UBS Securities LLC, Respondent Broker-Dealer No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. ("UBS Financial") and UBS Securities LLC ("UBS Securities") (collectively, "UBS" or "the firm") submits this Letter of

Reference 2009017133201data-portal.finra.orgfinra.org

01/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000144 TO: Market Regulation Department NASD RE: UBS Securities LLC CRD No. 7654 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Securities LLC ("UBSW") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against UBSW alleging violations based

Reference 2004200014401data-portal.finra.orgfinra.org

06/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015901501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC Broker-Dealer CRD No. 7654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2008015901501data-portal.finra.orgfinra.org

01/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001318-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Securities LLC, Respondent CRD No. 7654 Pursuant to Rule 9216 of FINRA Code of Procedure, UBS Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that

Reference 2005000131801data-portal.finra.orgfinra.org