Baylor University Poage Library

Box 15 - 16


Series : CFTC

Sub-series : Commission Subjects

Boxes 15 - 16 : 43 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

15

1

Advisory Committee

CFTC - State Cooperation, 06/24

Advisory Committee Agenda, 07/22/86.

Certificate of Accuracy, 07/24/86.

Committee Minutes, 33 p., 07/24/86.

1986

15

2

Advisory Committee

CFTC - State Cooperation, 10/08

Certificate of Accuracy, 10/08/87.

Committee Minutes, 43 p., 10/08/87.

1987

15

3

Advisory Committee

CFTC - State Cooperation, 02/05

Certificate of Accuracy, 02/05/87.

Committee Minutes, 34 p., 02/05/87.

1987

15

4

Advisory Committee

CFTC - State Cooperation, 09/14

Certificate of Accuracy, 09/14/88.

Committee Minutes, 29 p., 09/14/88.

1988

15

5

Advisory Committee

CFTC - State Cooperation, 04/11

Certificate of Accuracy, 04/11/89.

Committee Minutes, 23 p., 04/11/89.

1989

15

6

Advisory Committee

CFTC - State Cooperation, 11/14

Certificate of Accuracy, 11/14/89.

Committee Minutes, 24 p., 11/14/89.

1989

15

7

Advisory Committee

CFTC - State Cooperation, 02/21

Certificate of Accuracy, 02/21/91.

Committee Minutes, 28 p., 02/21/91.

1991

15

8

Advisory Committee

CFTC - State Cooperation, 11/21

Certificate of Accuracy, 11/21/91.

Committee Minutes, 29 p., 11/21/91.

1991

15

9

Advisory Committee

CFTC - State Cooperation, 05/12

Certificate of Accuracy, 05/12/92.

Committee Minutes, 24 p., 05/12/92.

1992

15

10

Agriculture Appropriations Bill

FY 1985

• Memo from David A. Ebersole, Office of Congressional & Governmental Affairs RE FY 1985 Agriculture Appropriations Bill, 09/20/84.

Letter from Kika de la Garza to Jamie L. Whitten, House Committee on Appropriations, 09/17/84.

1984

15

11

AMEX

Gold Bullion Contract Applications

• Memo from Division of Trading and Markets / Division of Economic Analysis RE Application of the Amex Commodities corporation for designation as a contract market in options on physical gold bullion, 02/06/85.

• Board Broker Questions, n.d.

Letter from Jean A. Webb to Nathan Most, Amex Commodities Corporation, and Marc L. Berman, Intermarket Clearning Corporation, RE Options on Gold Bullion, ??/??/85.

Letter from Thomas R. Donovan, CBOT, to Jean A. Webb, CFTC, RE Amex Commodities Corporation gold bullion option contract, 33 p., 01/10/85.

Letter from Arnold F. Staloff, Philadelphia Board of Trade to Jean A. Webb, CFTC, RE Amex Commodities Corporation gold bullion option contract, 5 p., 01/30/85.

Letter from Kenneth R. Leibler, American Stock Exchange, to Jean A Webb, CFTC, RE Amex Commodities Corporation gold bullion option contract, 8 p., 02/05/85.

1985

15

12

AMEX

Gold Bullion Contract Applications

Staff Document

• Memo from Division of Trading and Markets / Division of Economic Analysis RE Application of the Amex Commodities corporation for designation as a contract market in options on physical gold bullion, 150+ p., 02/06/85.

1985

15

13

AMEX

Gold Bullion Contract Applications

Memos from Division of Trading and Markets / Division of Economic Analysis RE Application of the Amex Commodities corporation for designation as a contract market in options on physical gold bullion, Attachment A. 44 p.; Attachment B, 106 p., [02/06/85]. [Duplicate of material in previous folder.]

1985

15

14

AMEX

Options on Gold Bullion

Application of the Amex Commodities Corporation for designation as a contract market in options on physical gold bullion, 72 p., 02/15/85.

1985

15

15

AMEX

Two Year US Treasury Note Futures

Memos from Division of Trading and Markets and Division of Economic Analysis RE Application of the Amex Commodities Corporation for designation as a contract market to trade futures contracts on two-year U.S. Treasury Notes, 11/13/89 and 11/14/89.

1989

15

16

Anspacher & Associates

v. Henderson, et al., Court Opinion

Informational

• Memo from Marshall E. Hanbury, General Counsel RE Recent opinion in Anspacher & Associates, Inc. v. Henderson, et al., 08/11/88.

1988

15

17

Arbitrage

Computrized

Article : Salomon Exec Proposes halt in Computrized Argitrage, Investor's Daily, p. 25, 05/10/88

1988

15

18

Arbitrage

London

International Stock Exchange, London, Quality of Markets Quarterly, Winter 1987/88. Reports insufficient amount of arbitrage in London. Attached memo dated 02/22/88.

1988

15

19

Arbitration

U.S. Supreme Court Opinion

Letter from Andrea M. Corcoran to Robert K. Wilmouth, National Futures Association RE National Futures Association Arbitration Program, 09/02/87.

Article : U.S. Supreme Court Opinions in Shearson/American Express, Inc. v. McMahon, Bureau of National Affairs publication, photocopy, 06/12/87.

Article : Arbitration after McMahon : Opportunity to unify securities and commodities processes by Richard A. Miller, from Commodities Law Letter, vol VII, Nos. 5 & 6, July/August 1987

1987

15

20

Arbitration

Articles from Securities Arbitration Commentator : What Appeal, Arbitrability? August 1988 ; Adjournments : "The Arbitration Virus," January 1989 ; Rodriques de Quijas v. Shearson : Arbitrability of claim under Section 12 (2) of the 1933 Act before the Supreme Court, November 1988 ; SEC Approves New Arbitration Rules, May 1989 ; The SRO Arbitrator's Manual : An Opening Inquiry, Do the SRO's show an industry bias? August 1989 .

Articles from Commodities Law Letter : New NFA Arbitration Rules Approved : allow punitives, formalize discovery, and expand jurisdiction, August 1989 ; Guide to Commodity futures Arbitration Procedures, July-August 1982 ; Customer v. Broker : What forum to choose, July-August 1986 ; Arbitration before the National Futures Association, January-February 1987.

Syllabus, Supreme Court of the United States : Rodriguez de Quijas et al. v. Shearson / American Express, Inc., 05/15/89.

Statement of Marshall J. Breger, Administrative Conference of the United States ™to the Committee on the Judiciary™on H.R. 2497, The Administrative Dispute Resolution Act, 01/31/90.

Statement of William P. Barr, Assistant Attorney General™before the ™Committee on the Judiciary™regarding the use of alternative dispute resolution by federal agencies, 01/31/90.

Report by Harold H. Bruff, UT Law professor, to the Administrative Conference : Public programs, private deciders : the constitutionality of arbitration in Federal Programs, n.d.

Article by Laura M. Oatney : Futures industry sefl-regulatory group offers arbitration program : Cracks down on commodity crooks, n.d.

Article : NFA Arbitration : an insdier's view, National Futures Association News Facts Actions, March, 1986.

Article : Futures traders find resourse in arbitration : some discover mediation is a speedier method of ending disputes than filing suit, 04/05/88.

1989

16

21

Audit Trail

CFTC meeting minutes RE Time Stamping -- Audit Trail, 64 p., 12/20/84.

• Memo, Division of Trading and Markets RE Thirty-minute bracketing and exchange audit trail systems, 41 p., 09/26/84.

Speech, John J. Conheeney, RE Fraud / Audit Trail, 6 p., 03/02-07/84.

CFTC paper, A Study of the nature, extent and effects of futures trading by persons possessing material, nonpublic information, 09/00/84. Selected pages dealing with Audit Trail.

1984

16

22

Audit Trail

• Letter from Craig A. Simmons, USGAO, to Susan M. Phillips, CFTC, RE audit trail systems, 12/20/85. • Letter from Richard G. Ketchum, US SEC, to Jean A. Webb, CFTC, RE audit trail, 05/15/85.

1985

16

23

Audit Trail

Audit Trail Notes, 01/00/86.

Letter from Susan M. Phillips to Richard G. Lugar, U.S. Senate, 03/13/86.

Letter from CBOT and CME to Susan M. Phillips, 03/04/86.

Letter from Wendy L. Gramm to Susan Phillips, 05/22/86.

CFTC meeting minutes RE Audit Trail, 01/14/86.

Pamphlet, Office of Investigations and Audits , CBOT, n.d.

Booklet, Computerized Trade Reconstruction, CME / CBOT, n.d.

Booklet, CTR Plus, BCOT, 06/00/87.

Booklet, Audit Trail Enhancements, Proposed final amendments to Commission Regulation 1.35, 01/14/86.

1986

16

24

Audit Trail

Agriculture Subcommittee on Conservation, Credit, and Rural Development

Audit Trail reviews™, 05/24/89.

Status of Audit Trails™, 05/24/89

1989

16

25

Bankruptcy Rules

Judicial Advisory Committee on Bankruptcy

Informational memo from Kenneth M. Raisler, General Counsel RE Recent changes to bankruptcy rules adopted by the Judicial Conference Advisory Committee on Bankruptcy Rules, 09/02/86.

1986

16

26

Brody, Alan J.

Regulation of Trading of Off-Exchange Instruments

Statement, Alan J. Brody, President, Commodity Exchange, NY, Hearings on Regulation of Trading of Off-Exchange Instruments before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, 03/20/85.

1985

16

27

Brady, Nicholas F.

Securities Industry Association remarks

Remarks by Nicholas F. Brady, Secretary of the Treasury before the Securities Industry Association, 12/02/89.

1989

16

28

Brady, Nicholas F.

Correspondence with Kika de la Garza

Letter from Nicholas F. Brady, Secretary of the Treasury, to Kika de la Garza, Committee on Agriculture, 02/26/91.

1991

16

29

Brady Commission

Stock Market crash

Article, Proxmire Assails report on stock fall, 05/25/88.

Congressional Record, a Quick-Fix legislative response to the stock market crash is unwise, 05/11/88.

1988

16

30

Briefing Book

Update materials

• Memo from Dave Ebersole RE Briefing Book Update Materials, 01/29/86

1986

16

31

Broker Association

Registration

• Memo , Division of Trading and Markets RE Proposed Part 156 -- Registration of Broker Associations, 03/21/90. 2 copies.

1990

16

32

Broker Association

Study

• Memo , Division of Trading and Markets RE Broker Association Study, 01/04/90.

Study on Broker Association, Division of Trading and Markets, 74 p., 01/04/90.

1990

16

33

Bush Task Group

Regulation of Financial Services

• Memo , Susan M. Phillips RE Bush Task Group, 12/29/83.

• Memo for the Task Group on the Regulation of Financial Services RE Coordination of the Functions of the Securities and Exchange Commission and the Commodity Futures Trading Commission. [12/00/83].

1983

16

34

Capital Interpretation

Interpretation Letter No. 92-17

News release, CFTC Division of Trading and Markets Advisory, CFTC Division Issues Interpretation of Capital, 10/28/92.

1992

16

35

Capital Markets Competition, Stability, and Fairness Act

Answers to Questions

• Memo, Bryce L. Harlow to Donald W. Riegle, Jr. U.S. Senate with attachment : Answers to Questions from Senators Garn and Meinz RE Capital Markets Competition, Stability, and Fairness Act of 1990.

1990

16

36

Capital Briefing

Capital rules

• Memo, Andrea M. Corcoran RE Capital Briefing, 05/18/87.

1987

16

37

Capital Briefing

Capital rules

• Memo, Andrea M. Corcoran RE Capital Briefing, 05/18/87. Duplicate of previous folder.

1987

16

38

Carabini, Louis E.

Statement

Statement of Louis E. Carabini, Monex International, 09/18/85.

1985

16

39

CBOT

Aurora EOS Trading system

AURORA : The dawn of a new age in international trading, CBOT, 00/00/89.

1989

16

40

CBOT

Corn

Pure corn, 24 p. [1991].

1991

16

41

CBOT

Corn Futures

Staff Document

• Memo, Divisions of Trading and Markets and Economic Analysis RE Application of the Chicago Board of Trade of designation as a contract market to trade options on corn Futures Contracts, 01/22/85.

Pure corn, 24 p. [1991].

1985

16

42

CBOT

Municipal Bond Index

Staff Document

• Memo, Divisions of Economic Analysis RE Application of the Chicago Board of Trade fordesignation as a contract market in Long-Term Municipal Bond Index futures, 52 p. + attachments, 05/22/85.

1985

16

43

CBOT

Silver Options

Staff Document

• Memo, Divisions of Trading and Markets and Economic Analysis RE Application of the Chicago Board of Trade of designation as a contract market in options on Silver Futures contracts, 24 p. + attachments, 02/04/85.

1985


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