The document details amendments to the Memorandum under 'Certain Regulatory Matters', highlighting settlements by DBSI with regulatory bodies in 2004 and 2009 related to research analyst independence and auction rate securities.
doj/DataSet10/EFTA01389999.pdf
{"title":"Changes to Certain Regulatory Matters","document_date":"2009-06-03","document_type":"financial","document_subtype":"regulatory settlement","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-0094367","SDNY_GM_00240551","EFTA01389999"]}