The document discusses amendments to the 'Certain Regulatory Matters' section of a Memorandum, detailing settlements reached by DBSI with various regulatory bodies. The settlements relate to investigations into research analyst independence and the sale of auction rate securities.
documents/vol00010-efta01354485-pdf.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-0039079","SDNY_GM_00185263","EFTA01354485"]}