Baylor University Poage Library

Box 17 - 19


Series : CFTC

Sub-series : Commission Subjects 

Boxes 17 - 19 : 60 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

17

44

CBOT

Treasury Options

Confidential Information

• Memo, Andrea M. Corcoran RE The Chicago Board of Trade and the board of Trade Clearing corporation, 04/17/85, 2 copies.

• Memo, Division of Economic Analysis RE Application of the Chicago Board of Trade as a contract market in options on Long Term United States Treasury Note Futures Contracts, 04/15/85.

• Memo, Division of Trading and Markets RE The Chicago Board of Trade and the Board of Trade Clearing Corporation, 04/22/85.

1985

17

45

CBOT

Gold and Silver Futures

• Memo, Division of Economic Analysis RE Application of the Chicago Board of Trade for designation as a contract market to trade futures contracts in 5,000-ounce silver, 08/03/87.

• Memo, Division of Economic Analysis RE Application of the Chicago Board of Trade for designation as a contract market to trade futures contracts in 100-ounce gold, 08/03/87.

• Memo, Division of Trading and Markets RE Application of the Chicago Board of Trade for designation as a contract market in 5,000- ounce silver futures contracts, 08/04/87.

1987

17

46

CBOT

Institutional Index Futures

• Memo, Paula A. Tosini RE Response to the February 12, 1987, letter from the Secretary of the SEC concerning the BCT application for designation to trade the Institutional Index, 03/04/87.

1987

17

47

CBOT

Japanese Government Bond Futures

• Memo, Division of Economic Analysis RE application of the Chicago Board of Trade for designation as a contract market to trade futures contracts in long-term Japanese Government Bonds, 11/04/88.

• Memo, Division of Trading and Markets RE application of the Chicago Board of Trade for designation as a contract market in long-term Japanese Government Bond Futures Contracts, 11/15/88.

1988

17

48

CBOT

Japanese Stock Index Futures

• Memo, Division of Economic Analysis RE application of the Chicago Board of Trade for designation as a contract market to trade the Japanese Stock Index futures contract, 11/01/88.

• Memo, Division of Trading and Markets RE application of the Chicago Board of Trade for designation as a contract market in Japanese Stock Index Futures Contracts, 11/15/88.

1988

17

49

CBOT

Oats Futures Contracts

• Memo, Division of Trading and Markets RE application of the Chicago Board of Trade for designation as a contract market in options on oats Futures Contracts, 12/07/89.

1989

17

50

CBOT

UK Gilt Futures

Memos, Division of Trading and Markets and Division of Economic Analysis RE application of the Chicago Board of Trade for designation as a contract market in long-term U.K. Gilt Futures Contracts, 10/28/88 and 11/15/88.

1988

17

51

CBOT

Canadian Government Bond Futures

Memos, Division of Trading and Markets and Division of Economic Analysis RE application of the Chicago Board of Trade for designation as a contract market in Ten Year Canadian Government Bond Futures Contracts, 06/14/91 and 06/13/91.

1991

17

52

CBOT

European Currency Bond Futures

Memos, Division of Trading and Markets and Division of Economic Analysis RE application of the Chicago Board of Trade for designation as a contract market in European Currency Unit (ECU) Bond Futures Contracts, 11/06/91 and 12/10/91.

1991

17

53

CBOT

Major Market Index Futures

Memos, Division of Trading and Markets and Division of Economic Analysis RE application of the Chicago Board of Trade for designation as a contract market in options on Major Market Index Futures Contracts, 09/20/91 and 09/23/91.

1991

17

54

CBOT

Catastrophe Insurance Futures

Memos, Division of Economic Analysis RE Application of the Chicago Board of Trade for designation as a contract market in

(1) National Catastrophe Insurance Futures,

(2) Eastern Catastrophe Insurance Futures,

(3) Midwestern Catastrophe Insurance Futures, and

(4) Western Catastrophe Insurance Futures and Options on each of those futures, 11/04/92.

1992

17

55

CBOT

CME v. SEC regarding RMJ Corp.

• Memo, Andrea M. Corcoran RE RMJ Securities Corp. ("RMJ"), Security Pacific Corp. ("Sec Pac") and Delta Government Options corp. ("Delta") options trading, 02/08/89.

1989

17

56

CBOT

CME Joint Audit Committee Presentation

Flip chart : Chicago Board of Trade / Chicago Mercantile Exchange Joint Audit Committee Presentation, 06/00/90

1990

17

57

CBOT

Annual Meeting Remarks

Remarks for CBOT Annual Meeting by Thomas R. Donovan, President and CEO. Chicago Board of Trade, 01/21/85.

1985

17

58

CBOT

Affiliation with MACE

Letter Jean A. Webb to Lee H. Berendt, MACE, RE MidAmerica Commodity Exchange Affiliation with the Chicago Board of Trade, 03/14/86.

• Memo, Division of Trading and Markets RE Affiliation of the MidAmerica Commodity Exchange with the Chicago Board of Trade, 03/11/86.

Letter, Karsten Mahlmann, CBOT, to FCW, 02/23/87.

Letter, Lee H. Berendt, MACE, to Jean Webb, CFTC, RE commission rule 1.41(b) submission of proposed amendments to the Rules of the MidAmerica Commodity Exchange to accomplish its affiliation with the Board of Trade of the City of Chicago, 10/21/85.

1986

17

59

CBOT

Statement of Karsten Mahlmann

Statement of Karsten Mahlmann, Chairman, Chicago Board of Trade, before the Conservation, Credit and Rural Development Subcommittee of the House Agriculture Committee, 07/20/89.

1989

17

60

CBOT

Disciplinary Action

News release : U.S. District Court upholds CBOT disciplinary action, 09/29/89.

1989

17

61

CBOT

Persian Gulf War

News release : CBOT prepared in case of Persian Gulf conflict, 01/15/91.

1991

17

62

CBOT

Regulation of Off-Exchange Commodity Instruments

Testimony, Chicago Board of Trade on Regulation of Off-Exchange Commodity Instruments before the Subcommittee on Conservation, Credit, and Rural Development of the House committee on Agriculture, 03/20/85.

1985

17

63

CBOT

Options Suit

Documents related to the court case, Board of Trade of the City of Chicago vs. Securities and Exchange commission.

Letter with multiple attachments from John H. Stassen, One of the Attorneys for the Petitioner, Board of Trade of the City of Chicago, to Thomas F. Strubbe, Clerk, United States Court of Appeals for the Seventh Circuit, RE Board of Trade of the City of Chicago v. Sec, No. _____ ( Petition for Review), 10/15/82.

News article : Chicago Board of Trade loses attempt to bar rivals' option trading, 10/21/82.

News releases : all related to court suit in October, 1982.

1982

17

64

CBOT

Rules 353 and 354

Staff Document

• Memo, Division of Trading and Markets RE Proposed Commission disapproval of Chicago Board of Trade ("CBT") Rules 353 and 354, 06/13/83.

1983

17

65

Commodity Exchange Act

Exchange-Trading Requirement

Article : The Demise of the Commodity Exchange Act's Exchange-Trading Requirement? by Mark D. Young, Partner, Kirkland & Ellis, 12/29/89.

1989

17

66

CFTC Amicus Curiae

CBOT v. SEC and Chicago Board Options Exchange

Documents related to the court case, Board of Trade of the City of Chicago vs. Securities and Exchange commission and Chicago Board Options Exchange, Inc., No. 81-1660

1981-1982

18

67

CFTC Amicus Curiae

Lyn Bennett, et al. v. E. F. Hutton Company

Memorandum of Amicus Curiae, CFTC, United States District court for the NOrthen District of Ohio Eastern Division, Civil Action No. C83-1502A, Hon. Alice M. Batchelder, 08/26/84.

1984

18

67

CFTC Amicus Curiae

Karen E. Cardoza v. CFTC and Board of Trade of the City of Chicago, Inc.

Memorandum of Amicus Curiae, CFTC, United States District court for the Northen District of Ohio Eastern Division, Civil Action No. C83-1502A, Hon. Alice M. Batchelder, 08/26/84.

1984

18

68

CFTC Amicus Curiae

Blunt, et al. v. Hlavinka and Davison

Brief Amicus Curiae, CFTC, Blunt, Ellis & Liewi, Inc., John Fromm and Peter Pfeffer v. Ronald P. Hlavinka and Jimmie G. Davison, on appeal from the United States District Court for the Eastern District of Wisconsin. No. 89-2265. 10/11/89.

1989

18

69

CFTC Court Opinion

Krommenhoek v. A-Mark Precious Metals, Inc, et al.

Opinion by Judge David R. Thompson, U.S. Court of Appeals for the Ninth Circuit, No. 90-35604, John E. Krommenhoek v. A-Mark Precious Metals, Inc., A-Mark Financial corporation, Spiral Metals, Inc. Argued and Submitted 06/07/91, Seattle, WA, Filed 09/27/91.

1991

18

70

CFTC Court Brief

Cardoza v. CFTC and CBOT

Brief of the CFTC in Karen E. Cardoza v. CFTC and Chicago Board of Trade, No. 83-3671. U.S. Court of Appeals for the Seventh Circuit. On Appeal from the U.S. District Court for the Northern District of Illinois, Eastern Division, No. 83 C 3671, The Honorable Marvin E. Aspen, Judge. 05/14/84.

1984

18

71

CFTC Division of Enforcement, Fraud Case

Financial Services Group

Letter from Richard A. Miller to Dennis Klenja titled "Rule 145.9 Confidential Treatment Requested" RE In the Matter of Financial Services Group, Inc., and Harry Tsantes. Letter with numerous attachments bound in clear plastic.

• Memo, Division of Enforcement RE Financial Services Group, Inc., Harold Tsantes, Harold Seigel, Carlos Mormeneo, and Donald Murphy. 10/05/87.

Legal Statement from Jean A. Webb giving facts in fraud case for the CFTC. n.d.

Letter from Gary S. Milner, Attorney, to CFTC Div. of Enforcement RE RE In the Matter of Financial Services Group, Inc., Harold Seigel, Carlos Mormeneo, 09/30/87.

1987

18

72

CFTC Division of Enforcement, Fraud Case

First International Commodities Group

• Memo, Division of Enforcement RE First International Commodities Group, Inc., First Union Trust Corporation, Gene Manuel Rodriguez, 08/03/87.

1987

18

73

CFTC Division of Enforcement, Fraud Case

Johanning, Liegberg, Wilkens, Pesek

• Memo, Division of Enforcement RE Jerome B. Johanning, Dennis C. Lieberg, Rodney P. Wilkens, Michael J. Pesek, 08/04/87.

1987

18

74

CFTC Division of Enforcement, Fraud Case

Northwest Trading Group, William McCarthy

• Memo, Division of Enforcement RE Northwest Trading Group, William McCarthy, 08/03/87.

1987

18

75

CFTC Division of Enforcement, Fraud Case

Linda Frances Altieri

• Memo, Division of Enforcement RE Linda Frances Altieri, 07/20/88.

1988

18

76

CFTC Division of Enforcement, Fraud Case

Michael J. Lohan

• Memo, Division of Enforcement RE Michael J. Lohan a/k/a/ Michael Desiderio and Donataco, Inc., 08/10/89.

1989

18

77

CFTC Division of Enforcement, Fraud Case

Philipp Brothers, Inc. et al.

• Memo, Division of Enforcement RE Philipp Brothers, Inc., Phibro Corporation, Cocoa Merchants, Ltd., Philipp Brothers Commodities Corporation, Anthony H. D. Weldon, Daniel F. Tulig, Peter Gilliam, Esther Lander Greenfield, Mark Glowatz and GCC Transfer Corp., 07/28/89.

1989

18

78

CFTC Division of Enforcement, Fraud Case

A&H Financial Services, Inc.

• Memo, Division of Enforcement RE A&H Financial Services, Inc., Andrew Bello, Jr., and Joseph Babio, Jr. 09/13/91.

1991

18

79

CFTC Division of Enforcement, Fraud Case

Dunhill Investments et all.,

• Memo, Division of Enforcement RE Dunhill Investments d/b/a/ Oxford Investments, et al., 12/09/91.

1991

18

80

CFTC Division of Enforcement, Fraud Case

Alan Horowitz

• Memo, Division of Enforcement RE Alan L. Horowitz, 09/13/91.

1991

18

81

CFTC Division of Enforcement, Fraud Case

Ed Kokes, Mark R. Ilk, GNP Commodities, Inc.

• Memo, Division of Enforcement RE Ed Kokes, Mark R. Ilk, GNP Commodities, Inc., 12/10/91.

1991

18

82

CFTC Division of Enforcement, Fraud Case

Bruce Mettelstadt

• Memo, Division of Enforcement RE Bruce Mettelstadt, 11/15/91.

1991

18

83

CFTC Division of Enforcement, Fraud Case

Danny L. Scheck, David Zatz

• Memo, Division of Enforcement RE Danny L. Scheck and David Zatz, 09/20/91.

1991

18

84

CFTC Division of Enforcement, Fraud Case

Michael B. Yatvin

• Memo, Division of Enforcement RE Michael B. Yatvin, 09/05/91.

1991

18

85

CFTC General

History

Article : CFTC and Government Reorganization - Preserving Regulatory Independence by Wayne D. Greenstone. The Business Lawyer, vol. 33, November 1977, pp. 164-219.

1977

18

86

CFTC General

Mandated Studies

Letter, Susan M. Phillips to Jesse A. Helms, US Senate RE implementation of Futures Trading Act of 1982. 7 p. plus attachment : Outline of Joint Federal Reserve-CFTC-SEC-Treasury study of Futures and Options Markets, 6 p., 07/12/83.

• Memo, David L. Horner to Danold L. Tendick RE Outline of Mandated Studies, 04/28/83.

1983

18

87

CFTC General

Anniversary Conference

Program, 10th Anniversary Conference : Continuing Issues in a Changing Market - Past, Present and Future, 10/23/84.

1987

18

88

CFTC General

Dispute with London Brokers

Article : New dispute looms between CFTC and London Brokers : Panel asks for identification of some US-based affiliated companies, 09/27/89.

1989

18

89

CFTC General

Recent News Developments

CFTC News Feature, vol. 2, No. 4/Fall, Fourth Quarter FY 1992, 11/05/92.

1992

18

90

CFTC General

News articles about CFTC

Articles :

- For LaSalle St., little has changed, 11/10/88 ;

- Don't reform CFTC, fix it, n.d. ;

- A future for the CFTC? 12/28/81 ;

- U.S. Proposal for Futures Transaction fee opposed, 02/02/90 ;

- CFTC rejects SEC proposals on jurisdiction/margins, 02/02/90 ;

- Unfortunate example of CFTC-bashing, 04/22/85 ;

- CFTC plays important role in futures markets, 12/11/85 ;

- Chicago watchdog, 07/15/85 ;

- CFTC appears to have hit its regulatory stride, 05/27/85 ;

- Getting tough with the futures exchanges : Long considered a pushover, the CFTC is starting to flex some muscle, 02/26/85 ;

- Futures : under control or undercontrolled? 05/20/85 ;

- New study lashes out at CFTC for excessive pre-authorization review, 06/11/84 ;

- Self-criticism not a journalistic pastime, 08/13/84.

1982-1992

18

91

CFTC Program Objectives

2nd Quarter FY 1985

Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Staffing Report and Program Objectives

- Program Highlights and Performance Stats

- Completed Objectives

- Ongoing Objectives

1985

19

92

CFTC Program Objectives

3rd Quarter FY 1985

• Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Program Highlights and Performance Stats

- Completed Objectives

- Ongoing Objectives

- New Objectives

1985

19

93

CFTC Program Objectives

4th Quarter FY 1985

Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Program Highlights and Performance Stats

- Completed Objectives

- Ongoing Objectives

- New Objectives

1985

19

94

CFTC Program Objectives

3rd Quarter FY 1987

Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Program Highlights and Performance Stats

- Completed Objectives

- Ongoing Objectives

- New Objectives

1987

19

95

CFTC Program Objectives

3rd Quarter FY 1989

• Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Staffing Report

- Program Highlights and Performance Stats

- Completed Objectives

- Ongoing Objectives

1989

19

96

CFTC Program Objectives

2nd Quarter FY 1990

Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Program Highlights

- New Objectives

- Ongoing Objectives

- Performance Statistics

- Staffing Report

1990

19

97

CFTC Program Objectives

3rd Quarter FY 1990

Notebook from Office of the Executive Director RE Staffing Report and Program Objectives, 01/28/85.

- Program Highlights

- New Objectives

- Ongoing Objectives

- Completed Objectives

- Performance Statistics

- Staffing Report

1990

19

98

CFTC Reauthorization Bill

Reauthorization Bill of 1983

Memos and letters from Philip McBride Johnson in 1982 and 1983 concerning the reauthorization of the CFTC by President Reagan in 1983.

1982-1983

19

99

CFTC Reauthorization Bill

Reauthorization Bill of 1986

Memos and letters fconcerning the reauthorization of the CFTC by President Reagan in 1986.

Summary of Questions and Answers, Senate Hearings on CFTC Reauthorization, 02/19/86.

S.2045 to amend the Commodity Exchange Act to reauthorize appropriations to carry out such Act, and for other purposes. 02/04/86.

• Memo from Dave Ebersole RE copies of witness list for Senate hearings and S.2045. 02/13/86.

• Memo from Kenneth M. Raisler RE Futures Trading Act of 1986 -- summary of legislative changes and implementing regulatory action. 12/09/86.

Statement of four London commodity exchanges and the International Commodities Clearing Limited, relative to S.2045.

The Link, vol. 1, issue 5, 04/28/86.

1986

19

100

CFTC Reauthorization Bill

Reauthorization Bill of 1986

News articles from various sources dealing with the Reauthorization Bill of 1986.

1986

19

101

CFTC Reauthorization Bill

Audit Trail

Chronology : The CFTC and Exchange Audit Trails, 03/12/86.

Memos related to Audit Trail, 1986.

Proposal : Chicago Mercantile Exchange and Chicago Board of Trade Computerized Trade Reconstruction Proposal. 03/13/86.

News artilces from various sources dealing with the Audit Trail debate, 1986.

1986

19

102

CFTC Reauthorization Bill

Congressional Record

Photocopies of sections of Congressional Record RE Reauthorization Bill :

- H 4494 - H 4528, 07/16/86.

- S 13581 - S 13598, 09/24/86.

- S 15268 - S17024, 10/06/86.

- H 10103 - H10116, 10/15/86.

1986

19

103

CFTC Reauthorization Bill

Correspondence

Correspondence in 1986 RE the Reauthorization Bill of 1986 from/to the following :

- Bowsher, Charles A.

- Bush, George

- Byrne, James T. , Jr.

- Conheeney, John J.

- de la Garza, E. Kika

- Dingell, John D.

- Dole, Robert

- Foley, Thomas S.

- Glickman, Dan

- Helms, Jesse

- Jones, Ed

- King, Kernan F.

- Miller , James C. III

- Nastro, Charles P.

- O'Neill, Thomas P. , Jr

- Pacelli, Albert P.

- Phelan, Arnold H.

- Phillips, Susan M.

- Potter, C. Nicholas

- Smith, Lowell S.

- Swartz, Gordon E.

- Zorinsky, Edward

1986


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