Legal
FINRA Fines UBS Financial Services for Failing to Provide Fund Sales Charge Waivers for Eligible Customers
The Financial Industry Regulatory Authority accepted a Letter of Acceptance, Waiver and Consent from UBS Financial Services, Inc. to settle alleged rule violations in connection with the firm’s failure to apply mutual fund sales charge waivers for certain eligible customers. As the Letter explains, many mutual funds waive front-end sales…
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