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y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
.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
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Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
.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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
.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 (127)
Entities connected to both Administrative Services and Massachusetts Securities Division
UBS AG
ORGANIZATION6 w/ Administrative·5 w/ Massachusetts
United States
LOCATION6 w/ Administrative·4 w/ Massachusetts
Federal Reserve
ORGANIZATION5 w/ Administrative·5 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION4 w/ Administrative·6 w/ Massachusetts
Internal Revenue Service
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
Ernst & Young LLP
ORGANIZATION6 w/ Administrative·3 w/ Massachusetts
New Hampshire
LOCATION3 w/ Administrative·6 w/ Massachusetts
Cayman
LOCATION6 w/ Administrative·3 w/ Massachusetts
the North American Securities Administrators Association
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
UBS Securities LLC
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
Cease & Desist
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
Millennium
ORGANIZATION6 w/ Administrative·3 w/ Massachusetts
Lehman
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
UBS Fund
ORGANIZATION4 w/ Administrative·5 w/ Massachusetts
New York
LOCATION6 w/ Administrative·3 w/ Massachusetts
New York State
LOCATION3 w/ Administrative·6 w/ Massachusetts
Dept. of
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
Lehman Structured Products
ORGANIZATION3 w/ Administrative·6 w/ Massachusetts
the U.S. Department of Labor
ORGANIZATION5 w/ Administrative·3 w/ Massachusetts
Civil Penalty
ORGANIZATION3 w/ Administrative·5 w/ Massachusetts