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Massachusetts Securities Division
ORGANIZATIONTermination of Administrative Services Agreement
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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
er Person. ARTICLE IV-Removal of Manager; Termination of Administrative Services Agreement; Transfers and Withdrawals 4.1 Removal of the Manager; Termination of Administrative Services Agreement. (a) The Manager may be removed at any time by a vote of at least a Majority in Unaffiliated Interest at a meeting of the Members called for such
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
r Person. ARTICLE IV-Removal of Manager; Termination of Administrative Services Agreement; Transfers and Withdrawals 4. l Removal of the Manager; Termination of Administrative Services Agreement. (a) The Manager may be removed at any time by a vote of at least a Majority in Unaffiliated Interest at a meeting of the Members called for such
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
r Person. ARTICLE IV-Removal of Manager; Termination of Administrative Services Agreement; Transfers and Withdrawals 4. l Removal of the Manager; Termination of Administrative Services Agreement. (a) The Manager may be removed at any time by a vote of at least a Majority in Unaffiliated Interest at a meeting of the Members called for such
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Mutual Connections (126)
Entities connected to both Massachusetts Securities Division and Termination of Administrative Services Agreement
New York State
LOCATION6 w/ Massachusetts·3 w/ Termination
the North American Securities Administrators Association
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
Internal Revenue Service
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
Lehman
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
Dept. of
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
Cease & Desist
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
Lehman Structured Products
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
UBS Securities LLC
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
the Securities and Exchange Commission
ORGANIZATION6 w/ Massachusetts·3 w/ Termination
New Hampshire
LOCATION6 w/ Massachusetts·3 w/ Termination
Federal Reserve
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
the Financial Advisor's
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
Parent Company
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
Department of Justice
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
UBS AG
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
Fannie Mae
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
UBS Fund
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
General State of NY
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
Brought
ORGANIZATION5 w/ Massachusetts·3 w/ Termination
The Ohio Division of Securities
ORGANIZATION5 w/ Massachusetts·3 w/ Termination