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the North American Securities Administrators Association
ORGANIZATIONTermination of Administrative Services Agreement
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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
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
&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
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
&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
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 the North American Securities Administrators Association and Termination of Administrative Services Agreement
New York State
LOCATION6 w/ the·3 w/ Termination
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ Termination
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ Termination
Lehman
ORGANIZATION6 w/ the·3 w/ Termination
Dept. of
ORGANIZATION6 w/ the·3 w/ Termination
Cease & Desist
ORGANIZATION6 w/ the·3 w/ Termination
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ Termination
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ Termination
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ Termination
New Hampshire
LOCATION6 w/ the·3 w/ Termination
Federal Reserve
ORGANIZATION5 w/ the·3 w/ Termination
the Financial Advisor's
ORGANIZATION5 w/ the·3 w/ Termination
Parent Company
ORGANIZATION5 w/ the·3 w/ Termination
Department of Justice
ORGANIZATION5 w/ the·3 w/ Termination
UBS AG
ORGANIZATION5 w/ the·3 w/ Termination
Fannie Mae
ORGANIZATION5 w/ the·3 w/ Termination
UBS Fund
ORGANIZATION5 w/ the·3 w/ Termination
General State of NY
ORGANIZATION5 w/ the·3 w/ Termination
Brought
ORGANIZATION5 w/ the·3 w/ Termination
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ Termination