The memorandum discusses amendments to the section on 'Certain Regulatory Matters', detailing settlements reached by DBSI with various regulatory bodies in connection with investigations into research analyst independence and the sale of auction rate securities.
documents/vol00010-efta01354916-pdf.pdf
{"title":"Changes to Certain Regulatory Matters","document_date":"2009-06-03","document_type":"correspondence","document_subtype":"memo","key_organizations":["DBSI","SEC","National Association of Securities Dealers","New York Stock Exchange","New York Attorney General","New Jersey Department of Securities"],"reference_numbers":["DB-SDNY-0039514","SDNY_GM_00185698","EFTA01354916"]}