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ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
.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
2 mentions1 same-page
Page ?Same page
ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
.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
2 mentions1 same-page
Page ?Same page
ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
.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
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Mutual Connections (126)
Entities connected to both the Delaware Limited Liability Company Act and Massachusetts Securities Division
Internal Revenue Service
ORGANIZATION7 w/ the·6 w/ Massachusetts
New York State
LOCATION4 w/ the·6 w/ Massachusetts
United States
LOCATION6 w/ the·4 w/ Massachusetts
UBS Securities LLC
ORGANIZATION4 w/ the·6 w/ Massachusetts
the Certificate of Formation
ORGANIZATION6 w/ the·3 w/ Massachusetts
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Massachusetts
Dept. of
ORGANIZATION3 w/ the·6 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION3 w/ the·6 w/ Massachusetts
Lehman
ORGANIZATION3 w/ the·6 w/ Massachusetts
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Massachusetts
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ Massachusetts
New Hampshire
LOCATION3 w/ the·6 w/ Massachusetts
New York
LOCATION6 w/ the·3 w/ Massachusetts
Department of Justice
ORGANIZATION4 w/ the·5 w/ Massachusetts
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Massachusetts
UBS Fund
ORGANIZATION3 w/ the·5 w/ Massachusetts
Civil Penalty
ORGANIZATION3 w/ the·5 w/ Massachusetts
General State of NY
ORGANIZATION3 w/ the·5 w/ Massachusetts
Brought
ORGANIZATION3 w/ the·5 w/ Massachusetts
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Massachusetts