UBS Allocation Procedures for Callable Securities

In accordance with FINRA Rule 4340 (Callable Securities), UBS Securities, LLC maintains allocation procedures by which it will allocate securities to be redeemed or selected as called in the event of a partial redemption or call. Alternatively, Clients may obtain a hard copy of these allocation procedures by contacting their UBS account representative.

Impartial lottery allocation system for Broadridge pdf, 84 KB