Baylor University Poage Library

Box 10 - 11


Series: CFTC

Sub-series : Committee Meetings

Boxes 10-11: 39 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

10

1

CTFC Meeting, 01/26

PSI

• Minutes of the meeting, closed session, 01/26/82.

1982

10

2

CTFC Meeting, 02/16

Kansas City BOT / Value Line Composite Average

• Memo : Application of the Kansas City Board of Trade for Designation as a Contract Market in the Value Line Composite Average, 02/16/80

1980

10

3

CTFC Meeting, 01/11

CME / Standard & Poor's Energy Index Futures

• Memo (47 p. + attachments) : Application of the Chicago Mercantile Exchange for designation as a Contract Market in the Standard & Poor's Energy Index, 01/06/84.

1984

10

4

CTFC Meeting, 08/28

CME / Mutual Offset System with Singapore...

• Staff Document : Proposed Mutual Offset System between the Chicago Mercantile Exchange and the Singapore International Monetary Exchange, Ltd, 125 p. , 08/28/84.

1984

10

5

CTFC Meeting, 04/30

National Futures Association Briefing

• Informational memo with attachments : Report on National Futures Association, 9 p., 04/25/85.

• Outline : Regulation of Off-exchange instruments under the Commodity Exchange Act by Andrea M. Corcoran, Director, Division of Trading and Markets, CFTC, and Robert H. Rosenfeld, Division Staff, 18 p.

1985

10

6

CTFC Meeting, 08/13

Amendments to Contract Market Designations

• Staff Document , Memo with attachments : Options Pilot Program -- extension of contract market designations, 08/06/85.

1985

10

7

CTFC Meeting, 05/20

NYFX / Commodity Research Bureau Price Index Futures

Documents concering the application of the New York Futures Exchange for designation as a Contract Market in the Commodity Research Bureau Futures Price Index, March to May, 1986.

1986

10

8

CTFC Meeting, 09/08

Rule 1.61, CBOT Petition for Rule Making

• Memo : That the Commission deny the petition for rulemaking by the Board of Trade of the City of Chicago dated May 19, 1987, 09/01/87.

• Memo : Publication of interpretation of Commission Rule 1.61 relating to Risk Management Exemptions from Exchange Speculative Position Limits, 08/31/87.

1987

10

9

CTFC Meeting, 02/25

CME Treasury Index Futures

Memos RE application of the Chicago Mercantile Exchange for designation as a Contract Market to Trade Futures Contracts on the CME Treasury Index, 20 p. plus attachments and 3 p. plus attachments, 02/17/88.

1988

10

10

CTFC Meeting, 02/25

Program Objectives, 3rd Quarter FY 1988

• Notebook contents with subject dividers :

- Staffing report,

- Program highlights and Performance statistics,

- Completed objectives,

- Ongoing objectives, and

- New Objectives,

- 39 p. 01/02/88.

1988

10

11

CTFC Meeting, 04/19

CBOT/ Mortgage - Backed Futures

• Memos RE application of the Chicago Board of Trade for designation as a Contract Market in Options on Mortgage-backed Futures Contracts, 04/12/88.

1988

10

12

CTFC Meeting, 04/19

CBOT/ Silver and Gold

• Memos RE Chicago Board of Trade's Application for designation as a Contract Market to Trade Options on its 5,000-ounce Silver Futures Contract, Petition for an exemption from the trading volume requirement for the underlying silver futures contract, and Amendments to the speculative limit rules for the 1,000-ounce and 5,000-ounce silver futures contracts and the 1,000-ounce silver option,

04/11/88

1988

10

13

CTFC Meeting, 04/19

MidAmerica Commodity Exchange

• Memos RE application of the MidAmerica Commodity Exchange for designation as a contract market in long-term U.S. Treasury note futures contracts, 04/11/88.

1988

10

14

CTFC Meeting, 05/11

CBOT / CBOE 50 & 250 Stock Index Futures

• Memos RE application of the Chicago Board of Trade for designation as a contract market to trade futures contracts on the CBOE 50 and 250 stock index, 04/03/88.

1988

10

15

CTFC Meeting, 05/11

CBOT / Medium term vs treasury note futures

• Memos RE application of the Chicago Board of Trade for designation as a contract market in options on medium term United States Treasury Note Futures Contracts, 05/03/88.

1988

10

16

CTFC Meeting, 05/26

Program Objectives, 4th Quarter FY 1988

• Notebook contents with following topics:

- Staffing report

- Program Highlights and Performance Statistics

- Completed Objectives

- Ongoing Objectives

- New Objectives

- 43 p., 05/19/88.

1988

10

17

CTFC Meeting, 06/25

CME / Silver Futures

• Memos RE application of the Chicago Mercantile Exchange for designation as a contract market in silver futures, 06/10/88.

1988

10

18

CTFC Meeting, 07/26

CBOT / 30 - Day Interest Rate Futures

• Memos RE application of the Chicago Board of Trade for designation as a contract market to Trade Futures Contracts in 30-Day Interest rates, 07/18/88, 07/20/88.

1988

10

19

CTFC Meeting, 07/26

Enforcement / American Futures Corp.

• Memo RE In the Matter of American Futures corp., et al., CFTC Docket No. 88.4. Recommendation : that the Commission accept the offer of settlement proposed by Michael Weinberg, Jr., 07/19/88.

1988

10

20

CTFC Meeting, 07/26

Enforcement / Kyle

• Memo RE John N. Kyle, II, Proposed Respondent. Recommendation : That the Commission institute an administrative proceeding pursuant to Sections...alleging that John N. Kyle, II violated Section... of the Commission's Regulations to determine whether the Commission should enter order...

1988

11

21

CTFC Meeting, 09/13

Program Objectives First Quarter FY 1989

• Notebook contents with following topics:

- Staffing report

- Program Highlights and Performance Statistics

- Completed Objectives

- Ongoing Objectives

- New Objectives

- 43 p., 09/13/88.

1988

11

22

CTFC Meeting, 12/13

Program Objectives Second Quarter FY 1989

• Notebook contents with following topics:

- Staffing report

- Program Highlights and Performance Statistics

- Completed Objectives

- Ongoing Objectives

- New Objectives

- 41 p., 12/05/88.

1988

11

23

CTFC Meeting, 03/27

Hybrid Instruments, Rules Regarding

• Memos : That the Commission approve the attached release adopting final rules concerning the regulation of certain hybrid instruments and transmit the rules for publication in the Federal Register. 07/14/89 and 03/21/90.

• Statement of Fowler C. West : Commission Adoption of Final Hybrid Rile, 07/17/89.

• CFTC Statutory Interpretation Concerning Certain Hybrid Instruments, 00/00/90.

1989

11

24

CTFC Meeting, 05/23

Enforcement Activity, 2nd Quarter, FY 1989

• Memo RE Enforcement Activity, Second Quarter FY 1989, 05/16/89.

1989

11

25

CTFC Meeting, 05/23

Enforcement - CFTC and Colorado v. Morrison

• Memo RE CFTC and Colorado v. Morrison, et al, Civil Action No. 88-M-271. Recommendation : That the Commission accept the defendant's offer as set forth in the consent Permanent Injunction and Order of Other Equitable Relief, 05/16/89.

1989

11

26

CTFC Meeting, 05/23

Enforcement - Rand -Bond of North America

• Memo : Proposed Defendants : Rand-Bond of North America, Inc., James T. Speirs, Paul Toomey.

• Recommendation : That the Commission authorize the Division of Enforcement to file a civil action...against the proposed defendants to halt continuing violations ... plus six sections, 05/15/89.

1989

11

27

CTFC Meeting, 05/23

Enforcement / Rochschild International et al.

• Memo : Proposed Defendants : Rothschild International, Roth Financial, Paul Killmar, Sandra Levette.

• Recommendation : That the Commission authorize the Division of Enforcement to file a civil action...against the proposed defendants to halt continuing violations ... plus six sections, 05/27/89.

1989

11

28

CTFC Meeting, 06/01

Program Objectives, 4th Quarter FY 1989

• Notebook contents with following topics:

- Staffing report

- Program Highlights and Performance Statistics

- Ongoing Objectives

- New Objectives

- 41 p., 12/05/88.

1989

11

29

CTFC Meeting, 06/29

CME / Pound Sterling Options

• Memos RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade physical options on the British Pound Sterling, 06/14/89 and 06/22/89.

1989

11

30

CTFC Meeting, 06/29

CME / Pound Sterling , Mark, and Yen Euro-Rate

• Memos : Application of the Chicago Mercantile Exchange for separate futures contract market designations on the

(1) Pound Sterling Euro-Rate Differential,

(2) the Japanese Yen Euro-Rate Differential, and

(3) the West German Deutsche Mark Euro-Rate Differential, 06/14/89.

1989

11

31

CTFC Meeting, 12/09

Enforcement / McFarlin Trading Company

• Memo : John K. McFarlin, Jr. and McFarlin Trading Company, 10/23/91.

1989

11

32

Committee Meeting, 06/20

CME / Sale Practice Audit Program

• Memo : Follow-up review of the sales practice audit program of the Chicago Mercantile Exchange and Letter to the Joint Audit Committee, 06/14/89.

1989

11

33

Committee Meeting, 06/20

Enforcement / Thomas J. Johnson

• Memo : From Division of Enforcement RE Proposed Respondent Thomas J. Johnson, 06/13/89.

1989

11

34

Committee Meeting, 06/20

Enforcement / Paul Sarnoff , Herbert Culpepper

• Memo From Division of Enforcement : In the Matter of Paul Sarnoff and Herbert David Culpepper, CFTC Docket No. 88-32, 06/13/89.

1989

11

35

Committee Meeting, 06/20

Enforcement / Stanford Management Corp.

• Memo From Division of Enforcement : Harvey M. Bloch, Recommendation that the Commission accept the offer of settlement submitted by Harvey M. Bloch in In the Matter of Stanford Management Corporation, et al., CFTC Docket No. 83-18, 06/12/89.

1989

11

36

Committee Meeting, 06/20

Enforcement / Elliot Thaler, Richard S. Rogers

• Memo from Jean A. Webb RE Enforcement Matters : CTFC v. Gregory H. Sweem; Harvey M. Bloch; Paul Sarnoff; Thomas J. Johnson; Elliot Thaler, document attached;• Richard S. Rogers, document attached 06/12/89.

1989

11

37

Committee Meeting, 06/20

Enforcement / Woodstock Trading Company

• Memo From Division of Enforcement RE Commodity Futures Trading Commission and the State of Iowa ex rel. Craig A. Goettsch, Superintendent of Securities v. Gregory H. Sweem, a/k/a/ Gregg Sweem, individually and d/b/a/ Woodstock Trading Company, Woodstock, Inc., Woodstock Commodities, Woodstock International, and Sweem Trading company, No. 88-152-B. 06/12/89.

1989

11

38

Committee Meeting, 03/27

Enforcement / Steven C. Brenner

• Memo From Division of Enforcement RE Steven C. Brenner, 03/20/90.

1990

11

39

Committee Meeting, 02/27

Commission Regulation 1.63

• Memo From Division of Trading and Markets RE Federal Register release adopting a final rule concerning service on certain self-regulatory organization committees by persons with disciplinary histories, 02/27/90.

1990


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