Document Mentions (3 shared documents)

EFTA00239188_sub_003 - EFTA00239188_269

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

d under the Exchange Act and may in the future have a broker- dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are re

EFTA00237816_sub_003 - EFTA00237816_258

2 mentions1 same-page

Page ?Same page

under the Exchange Act and may in the future have a broker-dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mut

EFTA00236853_sub_003 - EFTA00236853_258

2 mentions1 same-page

Page ?Same page