UBS Investment Bank SEC disclosures

Rule 606 (formerly Rule 11Ac1-6) of the US Securities and Exchange Commission requires broker-dealers to disclose where their customer orders are routed when the firm acts as agent. The following report for UBS Securities LLC (“UBS-S”) is being furnished in compliance with this rule:

UBS-S Rule 606 Report (PDF, 155 KB)

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Rule 605 (formerly Rule 11Ac1-5) of the US Securities and Exchange Commission requires market centers to disclose certain execution quality statistics. The following reports are being furnished in compliance with this rule for securities in which the firm(s) may be considered a market center:

UBS-S Rule 605 Report (external site)

Changes in technology and internal routing practices, as well as our regular and rigorous reviews, periodically result in modifications or enhancements to the methodology utilized by UBS Securities LLC in calculating the information disseminated under Rules 605 and 606. Accordingly, the Firm has made such adjustments to incorporate additional information into its publicly disclosed Execution Quality statistics, effective with the July 2010 reports.

In the event the Firm resubmits its monthly Rule 605 and/or quarterly Rule 606 data, the publicly available statistics will state the date of resubmission. Moreover, the original reports are available on request.