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2 mentions1 same-page
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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
ncial products that relate to investment in investment funds increases, Millennium will continually evaluate new sources of financing and leverage. The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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
llennium will continually evaluate new sources of financing and leverage. ML281817-MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00002467 EFTA00238023 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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
ases, Millennium will continually evaluate new sources of financing and leverage. -MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00001414 EFTA00237060 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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Mutual Connections (126)
Entities connected to both Cease & Desist and The Fund's Risk Management Program
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·4 w/ The
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ The
UBS AG
ORGANIZATION7 w/ Cease·4 w/ The
UBS Fund
ORGANIZATION7 w/ Cease·4 w/ The
United States
LOCATION6 w/ Cease·4 w/ The
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ The
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ The
New York State
LOCATION6 w/ Cease·4 w/ The
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ The
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ The
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ The
Dept. of
ORGANIZATION6 w/ Cease·3 w/ The
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ The
New Hampshire
LOCATION6 w/ Cease·3 w/ The
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ The
Lehman
ORGANIZATION6 w/ Cease·3 w/ The
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ The
Brought
ORGANIZATION5 w/ Cease·3 w/ The
The Ohio Division of Securities
ORGANIZATION5 w/ Cease·3 w/ The
Back Taxes Payment
ORGANIZATION5 w/ Cease·3 w/ The