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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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
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Mutual Connections (128)
Entities connected to both the U.S. Department of Labor and Cease & Desist
United States
LOCATION26 w/ the·6 w/ Cease
Department of Justice
ORGANIZATION18 w/ the·7 w/ Cease
the Securities and Exchange Commission
ORGANIZATION8 w/ the·8 w/ Cease
Ghislaine Maxwell
PERSON8 w/ the·6 w/ Cease
New York
LOCATION10 w/ the·3 w/ Cease
Federal Reserve
ORGANIZATION6 w/ the·7 w/ Cease
UBS Securities LLC
ORGANIZATION4 w/ the·8 w/ Cease
UBS AG
ORGANIZATION5 w/ the·7 w/ Cease
Fannie Mae
ORGANIZATION5 w/ the·7 w/ Cease
Cayman
LOCATION8 w/ the·3 w/ Cease
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ Cease
Samantha Power
PERSON6 w/ the·4 w/ Cease
Marc Rich
PERSON7 w/ the·3 w/ Cease
New Hampshire
LOCATION4 w/ the·6 w/ Cease
UBS Fund
ORGANIZATION3 w/ the·7 w/ Cease
Dept. of
ORGANIZATION3 w/ the·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Cease
New York State
LOCATION3 w/ the·6 w/ Cease