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er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
Entities connected to both the Confidential Information and Massachusetts Securities Division

United States
LOCATION
Samantha Power
PERSONthe Securities and Exchange Commission
ORGANIZATIONthe State of New York
LOCATIONCayman
LOCATION
New York
LOCATION
Wilmington
LOCATIONDept. of
ORGANIZATION
Internal Revenue Service
ORGANIZATION
New York State
LOCATIONCease & Desist
ORGANIZATIONUBS Securities LLC
ORGANIZATION
Department of Justice
ORGANIZATIONLehman
ORGANIZATIONLehman Structured Products
ORGANIZATION
New Hampshire
LOCATIONthe North American Securities Administrators Association
ORGANIZATION
Ghislaine Maxwell
PERSON
Fannie Mae
ORGANIZATIONUBS Fund
ORGANIZATION