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SEC and NY Settle with TD Ameritrade Over ARSs and New Charges Against Charles Schwab and Morgan Keegan
Practical Law Legal Update 7-386-8018 (Approx. 3 pages)
SEC and NY Settle with TD Ameritrade Over ARSs and New Charges Against Charles Schwab and Morgan Keegan
by PLC Corporate & Securities and PLC Finance
| Published on 21 Jul 2009 • USA (National/Federal) |
An update on investigations by the SEC and New York's Office of the Attorney General into the sales of auction rate securities (ARSs) by TD Ameritrade, Charles Schwab and Morgan Keegan & Co.