The memorandum discusses amendments to the 'Certain Regulatory Matters' section, detailing settlements by DBSI with various regulatory bodies regarding research analyst independence and auction rate securities.
documents/vol00010-efta01355119-pdf.pdf
{"document_date":"2009-06-03","document_type":"correspondence","document_subtype":"memorandum","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-0039955","SDNY_GM_00186139","EFTA01355119"]}