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Order Regarding Waiver Rule

UBS Financial Services Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))

Last Reviewed or Updated: May 27, 2011

Resources

Order Regarding Waiver Rule: SEC Issued Version (pdf 25.5 KB)

Details

Rule Type

Order Regarding Waiver

Release Number

33-9213

SEC Issue Date

May 27, 2011

Rules & Regulations

Enforcement & Litigation

Compliance

UBS Financial Services Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))

Resources

Details

More in this Section

UBS Financial Services Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))

Resources

Details