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Document Mentions (3 shared documents)
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Covered Non-Public Company: (3) II you initialed statement (1) above, please initial the following only if such applicable Public Company or Covered Non-Public Company. (a; is currently a client receiving Investment Banking Services provided by a FINRA member, or has paid compensation to a FINRA member for investme
A FINRA member firm or other broker dealer (b) An officer, director, general partner, associated person o' employee of a FINRA member firm or other Covered Broker Dealer. (C) An agent of a Coveted Broker Dealer if the agent is engaged in the investment banking or securities business. (d) An Immediate Family Member
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or The Investor, a any person having a Beneficial Interest in the Invests, is (i) an executive officer or director of a Public Company or a Covered Non-Public Company, or (ii) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in
A FINRA member firm or other broker dealer (b) An officer, director, general partner, associated person or employee of a FINRA member firm or other Covered Broker Dealer; (0 An agent of a Covered Broker Dealer if the agent is engaged in the investment banking or securities business; (d) An Immediate Family Member of
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• The Investor, or any person having a Beneficial Interest in the Investor, is (0 an executive officer or director of a Public Company or a Covered Non-Public Company, or (i) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in (
a) A RNRA member firm or other broker dealer (b) An officer. director, general partner, associated person or employee of a RNRA member firm or other Covered Broker Dealer, (c) An agent of a Covered Broker Dealer if the agent is engaged in the investment banking or securities business; (d) An Immediate Family Member o
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Mutual Connections (22)
Entities connected to both Non-Public Company and Covered Broker Dealer
Ghislaine Maxwell
PERSON4 w/ Non-Public·4 w/ Covered
Keogh
ORGANIZATION4 w/ Non-Public·3 w/ Covered
Form BD
ORGANIZATION4 w/ Non-Public·3 w/ Covered
Collective Investment Account
ORGANIZATION3 w/ Non-Public·4 w/ Covered
Investment Banking Services
ORGANIZATION4 w/ Non-Public·3 w/ Covered
the Memorandum
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Subscription Booklet
ORGANIZATION3 w/ Non-Public·3 w/ Covered
the Fund Investment Application
ORGANIZATION3 w/ Non-Public·3 w/ Covered
QuickCard
ORGANIZATION3 w/ Non-Public·3 w/ Covered
UBS Alternative Investments US
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Branch Managers
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Covered Broker
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Material Support
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Covered Non-Public Company
ORGANIZATION3 w/ Non-Public·2 w/ Covered
the Commodity Futures Trading Commission
ORGANIZATION2 w/ Non-Public·3 w/ Covered
Investment Company
ORGANIZATION3 w/ Non-Public·2 w/ Covered
Delegate
ORGANIZATION3 w/ Non-Public·2 w/ Covered
Undersigned
ORGANIZATION2 w/ Non-Public·2 w/ Covered
the National Futures Association
ORGANIZATION2 w/ Non-Public·2 w/ Covered
This Placement Fee
ORGANIZATION2 w/ Non-Public·2 w/ Covered