Back to Network
Restated Limited Liability Company Agreement
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
e "OriginalAgreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Amended Agreement was subsequently amended and restated in its entirety as of April 1, 2014 by
&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
"Original Agreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Mil
&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
"Original Agreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Mil
&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
Sponsored
Mutual Connections (126)
Entities connected to both Restated Limited Liability Company Agreement and the North American Securities Administrators Association
United States
LOCATION7 w/ Restated·4 w/ the
the Securities and Exchange Commission
ORGANIZATION4 w/ Restated·6 w/ the
New York
LOCATION7 w/ Restated·3 w/ the
Dept. of
ORGANIZATION3 w/ Restated·6 w/ the
Lehman
ORGANIZATION3 w/ Restated·6 w/ the
New York State
LOCATION3 w/ Restated·6 w/ the
New Hampshire
LOCATION3 w/ Restated·6 w/ the
Lehman Structured Products
ORGANIZATION3 w/ Restated·6 w/ the
Internal Revenue Service
ORGANIZATION3 w/ Restated·6 w/ the
Massachusetts Securities Division
ORGANIZATION3 w/ Restated·6 w/ the
Cease & Desist
ORGANIZATION3 w/ Restated·6 w/ the
UBS Securities LLC
ORGANIZATION3 w/ Restated·6 w/ the
The Ohio Division of Securities
ORGANIZATION3 w/ Restated·5 w/ the
Fannie Mae
ORGANIZATION3 w/ Restated·5 w/ the
Department of Justice
ORGANIZATION3 w/ Restated·5 w/ the
UBS Fund
ORGANIZATION3 w/ Restated·5 w/ the
Civil Penalty
ORGANIZATION3 w/ Restated·5 w/ the
General State of NY
ORGANIZATION3 w/ Restated·5 w/ the
Brought
ORGANIZATION3 w/ Restated·5 w/ the
Back Taxes Payment
ORGANIZATION3 w/ Restated·5 w/ the