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the U.S. Department of Labor
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION3
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zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (127)
Entities connected to both the U.S. Department of Labor and the North American Securities Administrators Association
United States
LOCATION26 w/ the·4 w/ the
Department of Justice
ORGANIZATION18 w/ the·5 w/ the
the Securities and Exchange Commission
ORGANIZATION8 w/ the·6 w/ the
New York
LOCATION10 w/ the·3 w/ the
Ghislaine Maxwell
PERSON8 w/ the·4 w/ the
Federal Reserve
ORGANIZATION6 w/ the·5 w/ the
Cayman
LOCATION8 w/ the·3 w/ the
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ the
Marc Rich
PERSON7 w/ the·3 w/ the
Fannie Mae
ORGANIZATION5 w/ the·5 w/ the
UBS AG
ORGANIZATION5 w/ the·5 w/ the
New Hampshire
LOCATION4 w/ the·6 w/ the
Samantha Power
PERSON6 w/ the·4 w/ the
UBS Securities LLC
ORGANIZATION4 w/ the·6 w/ the
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ the
Cease & Desist
ORGANIZATION3 w/ the·6 w/ the
New York State
LOCATION3 w/ the·6 w/ the
Dept. of
ORGANIZATION3 w/ the·6 w/ the
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ the
Lehman
ORGANIZATION3 w/ the·6 w/ the