The better informed you are about financial services, the better UBS and other financial services providers can serve your needs. That's why as the first wave of the baby-boom generation transitions to retirement, UBS is committed to raising awareness of the regulatory guidelines and resources available to this population and all of our clients.
We would like to direct you to the FINRA (Financial Regulatory Authority) website, a valuable resource for collecting financial industry knowledge, investor alerts, rules and regulations, product knowledge and other information that can help you protect your interests. You can also find important information at the SEC (US Securities and Exchange Commission) website. For more information, access the following sites:
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