Auction Rate Securities

Investor Alerts and Bulletins

Auction Rate Securities

July 1, 2011

Auction Rate Securities

General Information about Auction Rate Securities

 

SEC Press Releases and Related Documents Concerning Settlements

  • Press Release 2009-17: SEC Finalizes ARS Settlement to Provide $7 Billion in Liquidity to Wachovia Investors (February 5, 2009)
  • 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 Settlements
Bank of America: 1-866-638-4183
Citigroup: 1-866-720-4802
Deutsche Bank: 1-866-926-1437
Merrill Lynch: 1-888-706-1381
Raymond James: 1-800-647-7378
RBC: 1-866-876-5469
UBS: 1-800-253-1974
Wachovia: 1-866-283-7943

 

Other SEC Litigation and Administrative Proceedings

 

No-Action Letters