Box 15 - 16

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