A Big Thank You to Chris Lange at Sidley for explaining that unless the
cite says letter, it's a conversation with no record - which explains
why we weren't finding anything! I will definitely note this info for
future reference!!!
Thanks also to Nina Porcella, Shauna Wiest, and Molly McKenna for their
suggestions.
The list comes through again! I truly appreciate the help!
:-)
-glenda
________________________________
From: Farrell, Glenda -Legal
Sent: Thursday, May 29, 2008 11:07 AM
To: 'lawlib@ucdavis.edu'
Subject: Looking for SEC Letter
Dear All:
I am looking to get a copy of a letter sent from the SEC staff to the
NYSE. The cite is (SEC Staff to NYSE, August 6, 1990)(No. 90-11,
December 1990). The topic is "Securities Haircuts".
Actual citation from document is as follows:
A specialist operating under this paragraph may not engage in trading
non-specialist
securities. However, they may make occasional investment account
transactions in
non-specialist securities (not more than 10 per year).
Excess funds may be invested in reverse repurchase agreement
transactions as often as
necessary, and not be counted as occasional investment transactions.
(SEC Staff to NYSE, August 6, 1990) (No. 90-11, December, 1990)
I have tried the SEC databases on Lexis, Westlaw and CCH Internet
Research Network. I have also sent FOIA request to the SEC - who sent
me to SEC Public info - who referred me back to SEC FOIA or NYSE. Have
also requested from NYSE, but they have never gotten back to me. So,
now I'm turning to Law Lib. Does anyone have any suggestions?
Thank you!
-glenda
Glenda T. Farrell
Law Librarian - East
Vice President
Bank of America Legal Dept.
101 S. Tryon St. 29th Floor
NC1-002-29-01
Charlotte, NC 28255
Ph. 704.386.4312
Fx. 704.264.2540
glenda.farrell@bankofamerica.com
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