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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
ides to such person Material Support; (h) A person listed required to be listed) in Schedule A or Schedule C to Form BD as owning 10% or more of a Covered Broker Dealer; (i) A person listed (or reclined to be listed) in Schedule B or Schedule C of Form BD whose ownership interest is in a person listed in (
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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
s to such person Material Support; (h) A person listed (or required to be listed) in Schedule A or Schedule C to Form BD as owning 10% or more of a Covered Broker Dealer; (i) A person listed (or required to be listed) in Schedule B or Schedule C of Form BD whose ownership interest is in a person listed in (
2 mentions1 same-page
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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 (
s to such person Material Support; (h) A person listed Cot required to be listed) in Schedule A or Schedule C to Form BD as owning 10% or more of a Covered Broker Dealer; (i) A person listed (or required to be listed) in Schedule B or Schedule C of Form BD whose ownership interest is in a person listed in (
Sponsored
Mutual Connections (20)
Entities connected to both Non-Public Company and Covered Broker
Investment Banking Services
ORGANIZATION4 w/ Non-Public·3 w/ Covered
Ghislaine Maxwell
PERSON4 w/ Non-Public·3 w/ Covered
Form BD
ORGANIZATION4 w/ Non-Public·3 w/ Covered
Material Support
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Covered Broker Dealer
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Keogh
ORGANIZATION4 w/ Non-Public·2 w/ Covered
Collective Investment Account
ORGANIZATION3 w/ Non-Public·3 w/ Covered
Branch Managers
ORGANIZATION3 w/ Non-Public·2 w/ Covered
Delegate
ORGANIZATION3 w/ Non-Public·2 w/ Covered
Covered Non-Public Company
ORGANIZATION3 w/ Non-Public·2 w/ Covered
Investment Company
ORGANIZATION3 w/ Non-Public·2 w/ Covered
Subscription Booklet
ORGANIZATION3 w/ Non-Public·2 w/ Covered
the Fund Investment Application
ORGANIZATION3 w/ Non-Public·2 w/ Covered
QuickCard
ORGANIZATION3 w/ Non-Public·2 w/ Covered
UBS Alternative Investments US
ORGANIZATION3 w/ Non-Public·2 w/ Covered
the Memorandum
ORGANIZATION3 w/ Non-Public·2 w/ Covered
This Placement Fee
ORGANIZATION2 w/ Non-Public·2 w/ Covered
the National Futures Association
ORGANIZATION2 w/ Non-Public·2 w/ Covered
Al Investor Service
ORGANIZATION2 w/ Non-Public·2 w/ Covered
the Commodity Futures Trading Commission
ORGANIZATION2 w/ Non-Public·2 w/ Covered