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Auction Rate Securities
General Information about Auction Rate Securities
SEC Press Releases and Related Documents Concerning Settlements
- Press Release 2008-247: Bank of America Agrees in Principle to ARS Settlement (October 8, 2008)
- Press Release 2008-246: SEC Division of Enforcement Announces ARS Settlement in Principle With RBC Capital Markets Corp. (October 8, 2008)
- Press Release 2008-181: SEC Enforcement Division Announces Preliminary
Settlement With Merrill Lynch to Help Auction Rate Securities Investors (August 22, 2008)
- Press
Release 2008-176: Wachovia Agrees to Preliminary Auction Rate Securities
Settlement That Would Offer Approximately $9 Billion to Investors (August 15, 2008)
- Press
Release 2008-171: UBS Securities LLC and UBS Financial Services, Inc. Agree
in Principle to Auction Rate Securities Settlement (August 8, 2008)
- Press
Release 2008-168: Citigroup Agrees in Principle to Auction Rate Securities
Settlement (August 7, 2008)
Toll Free Numbers for Customer Inquiries about Preliminary Settlements |
Bank of America: |
1-866-638-4183 |
Citigroup: |
1-866-720-4802 |
Merrill Lynch : |
1-888-706-1381 |
UBS: |
1-800-253-1974 |
Wachovia: |
1-866-283-7943 |
Other SEC Litigation and Administrative Proceedings
- Press Release 2008-187: SEC Charges Two Wall Street Brokers
in $1 Billion Subprime-Related Auction Rate Securities Fraud (September 3, 2008) (Securities and Exchange
Commission v. Julian T. Tzolov and Eric S. Butler, Case No. 08 Civ. 7699 (SAS) (S.D.N.Y.))
- Administrative Proceeding: Release No. 33-8919: In the Matter of
First Southwest Company (May 27, 2008)
- Administrative Proceeding: Release No. 34-55712:
In the Matter of Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (May 7, 2007)
- Administrative Proceeding: Release No. 33-8767:
In the Matter of Deutsche Bank Trust Company Americas, The Bank of New York, and Wilmington Trust Company (January 9, 2007)
- Administrative Proceeding: Release No. 33-8684:
In the Matter of Bear, Stearns and Co., Inc. et al., (May 31, 2006)
No-Action Letters
http://www.sec.gov/investor/ars.htm
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