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.