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Auction Rate Securities
General Information
- Auction Rate Securities: What Happens When Auctions Fail
- SEC General Information
- Special Arbitration Procedure for Investors Involved in ARS Regulatory Settlements
- Testimony by Susan L. Merrill, Executive Vice President, Chief of Enforcement, Concerning Auction Rate Securities Markets Before the Committee on Financial Services of the U.S. House of Representatives
- State Special Arbitration Process
Related News Releases
- FINRA Fines HSBC Securities (USA) $1.5 million, US Bancorp $275,000 for Auction Rate Securities Violations
- FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations
- FINRA Announces Agreements with Four Additional Firms to Settle Auction Rate Securities Violations
- FINRA Provides Details on Special Arbitration Procedure for ARS Consequential Damages
- FINRA Announces Agreements in Principle with Three Additional Firms to Settle Auction Rate Securities Violations
- FINRA Announces Agreements in Principle with Five Firms to Settle Auction Rate Securities Violations
- FINRA Creates Process for Arbitrations Involving Auction Rate Securities