DBSI reached settlement agreements with the SEC, the National Association of Securities Dealers, the New York Stock Exchange, the New York Attorney General, and other state regulators regarding research analyst independence and auction rate securities.
doj/DataSet10/EFTA01386731.pdf
{"document_date":"2009-06-03","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-0088559","SDNY_GM_00234743","EFTA01386731"]}