UBS Financial Services Inc.

10/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2009019434801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services, Inc. CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services ("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,

Reference 2009019434801data-portal.finra.orgfinra.org

11/03/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION TO: Department of Market Regulation NASD RE: UBS Financial Services, Inc., Respondent Broker/Dealer CRD Number 8174 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Financial Services, Inc. ("PWJC" 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. This AWC is submitted on the condition that, if

Reference 2005000062601data-portal.finra.orgfinra.org

Reference 2018-03fincen.gov

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

11/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047864601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (“PWJC” or the “firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC”) for the purpose of proposing a settlement of the

Reference 2015047864601finra.orgdata-portal.finra.org

08/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041645601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: UBS Financial Services, Inc. (CRD No. 8174), Respondent Member Firm 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 described below. This AWC is submitted on the condition

Reference 2014041645601data-portal.finra.orgfinra.org

05/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090182292 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc. ("UBS FS," "Respondent" or "the Firm"), CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS FS submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009018229201finra.orgdata-portal.finra.org

05/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140421908-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. ("PWJC" or the "firm") submits this Letter of Acceptance

Reference 2014042190801data-portal.finra.orgfinra.org

06/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080151616-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2008015161601data-portal.finra.orgfinra.org

09/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2097009401302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services, Inc. (CRD No. 8174) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services, Inc. ("UBS," the "Firm," or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2007009401302data-portal.finra.orgfinra.org

01/21/2025: From December 2012 through September 2018, UBS FSI submitted approximately 17,000 blue sheets to FINRA that inaccurately reported one or more of eight types of transaction information. Collectively, the firm failed to include required transactions or transaction information, or included incorrect information, for approximately 4.4 million transactions. Therefore, UBS FSI violated FINRA Rules 8211, 8213, and 2010.

Reference 2019061777501data-portal.finra.orgfinra.org

02/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF04013000-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Member Firm BD No. 8174 Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondent UBS Financial Services Inc. ("UBSFS" 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

Reference EAF0401300001data-portal.finra.orgfinra.org

08/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038351701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services, Inc. (BD No. 8174) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services, Inc., ("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 2013038351701data-portal.finra.orgfinra.org

07/31/2026: From January 2019 through June 2023, UBS Financial failed to establish and implement policies and procedures for its AML compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions involving foreign currency wires. As a result, the firm failed to reasonably monitor and investigate foreign currency wires involving, among other issues, high-risk geographic locations, unusually large dollar amounts, and no apparent business purpose. Additionally, between January 2019 and December 2022, UBS Financial failed to reasonably implement its customer due diligence program with respect to certain customers. The firm also failed to timely detect and report suspicious transactions involving money movements by these same customers. As a result, UBS Financial violated FINRA Rules 3310(a), 3310(f), and 2010, and is censured, fined $20 million, and required to take corrective action...

Reference 2021069426901data-portal.finra.orgfinra.org

03/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037118101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services, Inc. (BD No. 8174) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services, Inc., ("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.

Reference 2013037118101data-portal.finra.orgfinra.org

12/18/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. (UBS-FS) 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 2019061442601data-portal.finra.orgfinra.org

10/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050912401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services, Inc. (the "Firm" or "PWJC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2016050912401finra.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

Reference 2026-02fincen.gov

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

11/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050000995-01 TO: Market Regulation Department NASD RE: UBS Financial Services, Inc., CRD No. 8174 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Financial Services, Inc. ("PWJC) 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 PWJC

Reference 2005000099501data-portal.finra.orgfinra.org

04/25/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060139001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. 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 2018060139001data-portal.finra.orgfinra.org

07/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465792-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (the "firm") submits this Letter

Reference 2015046579201data-portal.finra.orgfinra.org

12/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062532801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. (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

Reference 2019062532801data-portal.finra.orgfinra.org

10/24/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004073301 TO: Department of Enforcement NASD RE: UBS Financial Services, Inc., Respondent BD No. 8174 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Financial Services, Inc. ("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

Reference E102004073301data-portal.finra.orgfinra.org

09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090195593-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (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 2009019559301data-portal.finra.orgfinra.org

12/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076156301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. (UBS FSI) 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 2022076156301data-portal.finra.orgfinra.org

01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060063758-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (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 2006006375801data-portal.finra.orgfinra.org

06/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130387463-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (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 2013038746301finra.orgdata-portal.finra.org

04/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160500475-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (''PWJC" 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

Reference 2016050047501data-portal.finra.orgfinra.org

01/05/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067603601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. 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 2020067603601data-portal.finra.orgfinra.org

05/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE3050009 TO: Department of Enforcement NASD RE: UBS Financial Services, Inc., Respondent, CRD No. 8174 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent UBS Financial Services, Inc. ("UBS", 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will

Reference CE3050009data-portal.finra.orgfinra.org

06/26/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20070095202 TO:Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services, Inc., Respondent, CRD #8174 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

Reference 2007009520201finra.orgdata-portal.finra.org

04/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015443331 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services, Inc. (CRD No. 8174) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services, Inc. ("UBS " the "Firm", or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2008015443301data-portal.finra.orgfinra.org

07/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080147203-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2008014720301finra.orgdata-portal.finra.org

02/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20041000031-01 TO: Department of Market Regulation Financial mdustry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent CRD No. 8174 Pursuant to Rule 9216 of the FINRA Code of Procedure, UBS Financial Services Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2004100003101finra.orgdata-portal.finra.org

03/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150441927-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. (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 2015044192701data-portal.finra.orgfinra.org

11/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090180811-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. ("PWJC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009018081101data-portal.finra.orgfinra.org

07/08/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073037102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRDNo. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. 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 2021073037102data-portal.finra.orgfinra.org

01/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123554-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. ("PWJC" 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

Reference 2008012355401data-portal.finra.orgfinra.org

08/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053003701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc., Respondent Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent UBS Financial Services Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017053003701data-portal.finra.orgfinra.org

11/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017976301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc. ("UBS"), Respondent Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 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

Reference 2009017976301data-portal.finra.orgfinra.org

09/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050022470-01 TO: Market Regulation Department NASD RE: UBS Financial Services Inc. CRD No. 8174 Pursuant to Rule 9216 of NASD Code of Procedure, UBS Financial Services Inc. ("PWJC") 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 PWJC

Reference 2005002247001data-portal.finra.orgfinra.org

10/02/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050874301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. ("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

Reference 2016050874301data-portal.finra.orgfinra.org