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the North American Securities Administrators Association
ORGANIZATIONthe applicable Portfolio Managers
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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Mutual Connections (126)
Entities connected to both the North American Securities Administrators Association and the applicable Portfolio Managers
New York State
LOCATION6 w/ the·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ the
Lehman
ORGANIZATION6 w/ the·3 w/ the
Dept. of
ORGANIZATION6 w/ the·3 w/ the
Cease & Desist
ORGANIZATION6 w/ the·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ the
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ the
New Hampshire
LOCATION6 w/ the·3 w/ the
Federal Reserve
ORGANIZATION5 w/ the·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ the·3 w/ the
Parent Company
ORGANIZATION5 w/ the·3 w/ the
Department of Justice
ORGANIZATION5 w/ the·3 w/ the
UBS AG
ORGANIZATION5 w/ the·3 w/ the
Fannie Mae
ORGANIZATION5 w/ the·3 w/ the
UBS Fund
ORGANIZATION5 w/ the·3 w/ the
General State of NY
ORGANIZATION5 w/ the·3 w/ the
Brought
ORGANIZATION5 w/ the·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ the