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.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
he Members on a basis which is not in accordance with the respective Fund Percentages of all Members as of the commencement of such Fiscal Period. Offering Memorandum means each of the Confidential Offering Memorandums of the Fund, including the Confidential Offering Memorandum of Class A Interests of the Fund, da
2 mentions1 same-page
Page ?Same page
.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
he Members on a basis which is not in accordance with the respective Fund Percentages of all Members as of the commencement of such Fiscal Period. Offering Memorandum means the Confidential Offering Memorandum of the Fund, dated April 2014, as may be amended or supplemented from time to time. Original Agreement s
2 mentions1 same-page
Page ?Same page
.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
he Members on a basis which is not in accordance with the respective Fund Percentages of all Members as of the commencement of such Fiscal Period. Offering Memorandum means the Confidential Offering Memorandum of the Fund, dated April 2014, as may be amended or supplemented from time to time. Original Agreement s
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Mutual Connections (126)
Entities connected to both Massachusetts Securities Division and Offering Memorandum
the Securities and Exchange Commission
ORGANIZATION6 w/ Massachusetts·8 w/ Offering
United States
LOCATION4 w/ Massachusetts·8 w/ Offering
the North American Securities Administrators Association
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
Lehman Structured Products
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
Lehman
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
New Hampshire
LOCATION6 w/ Massachusetts·3 w/ Offering
UBS Securities LLC
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
Dept. of
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
Cease & Desist
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
New York State
LOCATION6 w/ Massachusetts·3 w/ Offering
Internal Revenue Service
ORGANIZATION6 w/ Massachusetts·3 w/ Offering
UBS Fund
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
the Financial Advisor's
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
Parent Company
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
Fannie Mae
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
Department of Justice
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
The Ohio Division of Securities
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
Back Taxes Payment
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
Swiss Federal Banking Commission
ORGANIZATION5 w/ Massachusetts·3 w/ Offering
UBS AG
ORGANIZATION5 w/ Massachusetts·3 w/ Offering