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Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
2 mentions1 same-page
Page ?Same page
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
2 mentions1 same-page
Page ?Same page
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
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Mutual Connections (126)
Entities connected to both Cease & Desist and Strategy Development
UBS Securities LLC
ORGANIZATION8 w/ Cease·4 w/ Strategy
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ Strategy
Federal Reserve
ORGANIZATION7 w/ Cease·4 w/ Strategy
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ Strategy
UBS AG
ORGANIZATION7 w/ Cease·3 w/ Strategy
United States
LOCATION6 w/ Cease·4 w/ Strategy
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ Strategy
New York State
LOCATION6 w/ Cease·4 w/ Strategy
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ Strategy
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ Strategy
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ Strategy
Dept. of
ORGANIZATION6 w/ Cease·3 w/ Strategy
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ Strategy
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ Strategy
New Hampshire
LOCATION6 w/ Cease·3 w/ Strategy
Lehman
ORGANIZATION6 w/ Cease·3 w/ Strategy
the Financial Advisor's
ORGANIZATION5 w/ Cease·3 w/ Strategy
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ Strategy
General State of NY
ORGANIZATION5 w/ Cease·3 w/ Strategy
Brought
ORGANIZATION5 w/ Cease·3 w/ Strategy