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the North American Securities Administrators Association
ORGANIZATIONthe Monetary Authority's
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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Mutual Connections (126)
Entities connected to both the North American Securities Administrators Association and the Monetary Authority's
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