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Administrative Services
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION3
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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
&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): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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
&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): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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
&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): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (127)
Entities connected to both Administrative Services and the North American Securities Administrators Association
UBS AG
ORGANIZATION6 w/ Administrative·5 w/ the
United States
LOCATION6 w/ Administrative·4 w/ the
Federal Reserve
ORGANIZATION5 w/ Administrative·5 w/ the
the Securities and Exchange Commission
ORGANIZATION4 w/ Administrative·6 w/ the
Internal Revenue Service
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Ernst & Young LLP
ORGANIZATION6 w/ Administrative·3 w/ the
New Hampshire
LOCATION3 w/ Administrative·6 w/ the
Cayman
LOCATION6 w/ Administrative·3 w/ the
Massachusetts Securities Division
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UBS Securities LLC
ORGANIZATION3 w/ Administrative·6 w/ the
Cease & Desist
ORGANIZATION3 w/ Administrative·6 w/ the
Millennium
ORGANIZATION6 w/ Administrative·3 w/ the
Lehman
ORGANIZATION3 w/ Administrative·6 w/ the
UBS Fund
ORGANIZATION4 w/ Administrative·5 w/ the
New York
LOCATION6 w/ Administrative·3 w/ the
New York State
LOCATION3 w/ Administrative·6 w/ the
Dept. of
ORGANIZATION3 w/ Administrative·6 w/ the
Lehman Structured Products
ORGANIZATION3 w/ Administrative·6 w/ the
the U.S. Department of Labor
ORGANIZATION5 w/ Administrative·3 w/ the
Civil Penalty
ORGANIZATION3 w/ Administrative·5 w/ the