In the Matter of Bank of America, N.A. and Merrill Lynch, Pierce, Fenner & Smith, Inc.

S.E.C. Rel. No. 9421 (2014)

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In the Matter of Bank of America, N.A. and Merrill Lynch, Pierce, Fenner & Smith, Inc.

Securities and Exchange Commission
S.E.C. Rel. No. 9421 (2014)

SC

Facts

The United States District Court for the Western District of North Carolina entered a judgment enjoining Bank of America, N.A. from violating various sections of the Securities Act of 1933. Bank of America requested that the Securities and Exchange Commission (SEC) waive disqualification from Regulation D that would otherwise result from the judgment.

Rule of Law

Issue

Holding and Reasoning ()

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