The document discusses amendments to the Memorandum under 'Certain Regulatory Matters', detailing settlements reached by DBSI with various regulatory bodies in 2004 and 2009. The 2004 settlement involved a payment of $87.5 million related to research analyst independence. The 2009 settlement involved proceedings with the SEC and other state regulators concerning auction rate securities, requiring DBSI to buy back ARS and compensate affected customers.
doj/DataSet10/EFTA01392251.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-0097438","SDNY_GM_00243622","EFTA01392251"]}