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Document Mentions (3 shared documents)
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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
in (h). (j) A person that owns directly or indirectly 10% or more of a public reporting company listed (on required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange. (k) A person that owns dire
2 mentions1 same-page
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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
in (h); (j) A person that owns directly or indirectly 10% or more of a public reporting company listed (or required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange; (k) A person that owns dire
2 mentions1 same-page
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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
in (h). (j) A person that owns directly or indirect& 10% or more of a public reporting company listed (or required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange, (k) A person that owns direc
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Mutual Connections (21)
Entities connected to both Covered Broker Dealer and Form BD
Keogh
ORGANIZATION3 w/ Covered·5 w/ Form
Non-Public Company
ORGANIZATION3 w/ Covered·4 w/ Form
Ghislaine Maxwell
PERSON4 w/ Covered·3 w/ Form
Collective Investment Account
ORGANIZATION4 w/ Covered·3 w/ Form
Covered Non-Public Company
ORGANIZATION2 w/ Covered·4 w/ Form
Investment Banking Services
ORGANIZATION3 w/ Covered·3 w/ Form
Covered Broker
ORGANIZATION3 w/ Covered·3 w/ Form
Material Support
ORGANIZATION3 w/ Covered·3 w/ Form
QuickCard
ORGANIZATION3 w/ Covered·2 w/ Form
Investment Company
ORGANIZATION2 w/ Covered·3 w/ Form
United States
LOCATION2 w/ Covered·3 w/ Form
Subscription Booklet
ORGANIZATION3 w/ Covered·2 w/ Form
the Fund Investment Application
ORGANIZATION3 w/ Covered·2 w/ Form
UBS Alternative Investments US
ORGANIZATION3 w/ Covered·2 w/ Form
the Memorandum
ORGANIZATION3 w/ Covered·2 w/ Form
Branch Managers
ORGANIZATION3 w/ Covered·2 w/ Form
the Commodity Futures Trading Commission
ORGANIZATION3 w/ Covered·2 w/ Form
the National Futures Association
ORGANIZATION2 w/ Covered·2 w/ Form
Al Investor Service
ORGANIZATION2 w/ Covered·2 w/ Form
This Placement Fee
ORGANIZATION2 w/ Covered·2 w/ Form