The document discusses amendments to the 'Certain Regulatory Matters' section of a Memorandum, detailing settlements reached by DBSI with various regulatory bodies in 2004 and 2009. These settlements were related to investigations into research analyst independence and claims under federal securities laws concerning auction rate securities.
doj/DataSet10/EFTA01391576.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-0096542","SDNY_GM_00242726","EFTA01391576"]}