District Court, N.D. California November 15, 2001, C 01-01406 WHA (Agile Software Corp. v. Merrill Lynch & Co., Inc.)

ORDER DISMISSING CASE

ALSUP, District Judge.

INTRODUCTION

This action presents an issue of first impression, namely who bears the costs of providing shareholder materials for securities held in a so-called HOLDRS trust. This order holds that the issuer bears those costs under properly-promulgated regulations of the Securities and Exchange Commission.