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Order Regarding Waiver Rule

UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)

Last Reviewed or Updated: May 1, 2012

Resources

Order Regarding Waiver Rule: SEC Issued Version (pdf 24.14 KB)

Details

Rule Type

Order Regarding Waiver

Release Number

33-9320

SEC Issue Date

May 1, 2012

Rules & Regulations

Enforcement & Litigation

Compliance

UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)

Resources

Details

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UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)

Resources

Details