DBSI reached a settlement agreement with the SEC, NASD, NYSE, and the New York Attorney General, along with other state regulators, regarding research analyst independence and auction rate securities.
documents/vol00010-efta01364918-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-0055468","SDNY_GM_00201652","EFTA01364918"]}