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the North American Securities Administrators Association
ORGANIZATIONCayman Islands Mutual Funds Law
ORGANIZATION3
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&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
d under the Exchange Act and may in the future have a broker- dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are re
2 mentions1 same-page
Page ?Same page
&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
under the Exchange Act and may in the future have a broker-dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mut
2 mentions1 same-page
Page ?Same page
&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
under the Exchange Act and may in the future have a broker-dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mut
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Mutual Connections (126)
Entities connected to both the North American Securities Administrators Association and Cayman Islands Mutual Funds Law
New York State
LOCATION6 w/ the·4 w/ Cayman
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ Cayman
Dept. of
ORGANIZATION6 w/ the·3 w/ Cayman
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ Cayman
Lehman
ORGANIZATION6 w/ the·3 w/ Cayman
Cease & Desist
ORGANIZATION6 w/ the·3 w/ Cayman
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ Cayman
New Hampshire
LOCATION6 w/ the·3 w/ Cayman
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ Cayman
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ Cayman
Civil Penalty
ORGANIZATION5 w/ the·3 w/ Cayman
General State of NY
ORGANIZATION5 w/ the·3 w/ Cayman
UBS Fund
ORGANIZATION5 w/ the·3 w/ Cayman
Brought
ORGANIZATION5 w/ the·3 w/ Cayman
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ Cayman
Department of Justice
ORGANIZATION5 w/ the·3 w/ Cayman
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ Cayman
Fannie Mae
ORGANIZATION5 w/ the·3 w/ Cayman
the Financial Advisor's
ORGANIZATION5 w/ the·3 w/ Cayman
Parent Company
ORGANIZATION5 w/ the·3 w/ Cayman