DBSI reached a settlement agreement with the SEC, NASD, NYSE, and the New York Attorney General, among others, related to research analyst independence and auction rate securities.
doj/DataSet10/EFTA01394416.pdf
{"document_date":"2004-08-26","document_type":"legal","document_subtype":"settlement agreement","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-0100421","SDNY_GM_00246605","EFTA01394416"]}