# SEC Investment Advisers Act of 1940 order IA-5781
> Respondent: **UBS Financial Services Inc.** · 2021-07-19 · File 3-20401
## Proceeding
- **Release Number:** IA-5781
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-20401
- **Publish Date:** 2021-07-19
## Respondents
- UBS Financial Services Inc.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2021/ia-5781.pdf](https://www.sec.gov/files/litigation/admin/2021/ia-5781.pdf)

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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*