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UBS PaineWebber, Inc.

UBS PaineWebber, Inc. (CRD #8174, Weehawken, New Jersey) received a censure and fine of $12,500. Additionally, the firm was required to revise its written supervisory procedures relating to transaction reporting. Without admitting or denying the allegations, the firm consented to the described sanctions and to the entry of findings that it incorrectly designated as late, to the Fixed Income Pricing SystemSM (FIPSŪ), transactions in FIPS securities and failed to report the correct time of execution to FIPS for each transaction. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010162)

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