Baylor University Poage Library

Box 20 - 22


Series : CFTC

Sub-series : Commission Subjects 

Boxes 20 - 22 : 55 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

20

104

CFTC Reauthorization Bill

Debate

• Memo, Kenneth M. Raisler, RE Futures Trading Act of 1986 -- Summary of legislative changes and implementing regulatory action. 12/09/86. Joint CFTC Reauthorization positions of CBOT and CME includes supporting documents.

• Memo, Donald L. Tendick, RE Responses to House Appropriations Questions, 03/21/86.

• Memo, Susan M. Phillips, RE Outstanding reauthorization issues for House full committee mark-up, 05/02/86.

• Memo, David A. Ebersole, RE House Committee Print and the English Amendment, 05/12/86.

1986

20

105

CFTC Reauthorization Bill

Futures Trading Act of 1986

Copy of the Futures Trading Act of 1986, preliminary draft.

1986

20

106

CFTC Reauthorization Bill

Leverage Contracts

Documents related to leverage transactions such as :Leverage Transaction Report for March 1986, 05/08/86 ;

Leverage Rules, 04/23/86 ;

Legal analysis of the "Amendment Permitting State Jurisdiction Over Leverage," 05/15/86.

Leverage Complaints ;

Leverage statistics, 05/14/86.

Letter , Dan Glickman to Susan M. Phillips RE leverage and including "Additional views on HR 4613."

News articles :

- Critics claim CME sold out on leverage, 05/21/86 ;

- House panel gets behind metals leverage, 05/27/86 ;

- State authority over leverage removed from House CFTC bill, n.d. ;

- House/Senate action on CFTC Reauthorization bill stalls over leverage, 05/19/86 ;

- U.S. House panel votes to reauthorize CFTC, 04/23/86 ;

- CFTC uproar nears quiet windup, 04/23/86

- CFTC proposal would limit leverage contracts, 01/29/86 ;

- Heated debate over elimination of leverage contracts expected to emerge during House mark-up of CFTC bill, 04/14/86.

1986

20

107

CFTC Reauthorization Bill

Markups, House / Senate

Markup : Senate Agricultural Committee Markup, , 03/25/86, contents :

1. CFTC Reauthorization Bill S. 2045

2. Issues - compared under current law and S.2045

3. Staff recommendations for markup

4. letter from Chairman Phillips to Committee Chairman Helms, 03/24/86

- 5. CBOT, CME position on appellate review of CFTC actions

6. CFTC responses submitted to committee staff on appellate review

7. Amendments and report language approved by committee in markup.

Markup : House Subcommittee markup documents, 04/22/86, contents :

1. Subcommittee's brief summary of H.R. 4613

2. Amendments & report language

3. H. R. 4613

1986

20

108

CFTC Reauthorization Bill

Markups, House / Senate

Joint reauthorizations positions of the CBOT and the CME, 03/24/86.• Statement of John F. Sandner, Chairman, CME, 03/18/86.

Audit Trail report language, 03/26/86

Leverage amendment with staff explanation, n.d.

Report language : Rescission of options pilot program ; Speculative limits ; hedging, n.d.

Comparative analysis of proposed amendments to the Commodity Exchange Act, 03/00/86.

Letter, Susan M. Phillips to Richard G. Lugar, US Senate, 03/13/86.

1986

20

109

CFTC Reauthorization Bill

Testimony of Susan M. Phillips

Oral Testimony of Susan M. Phillips, Chairman, CFTC before the Committee on Agriculture, Nutrition, and Forestry, U.S. Senate, 02/19/86. two copies

1986

20

110

CFTC Reauthorization Bill

Statement of Differences

Statement of Differences between H.R. 4613, as passed by the House, and the Senate Amendment thereto, Futures Trading Act of 1986, Conference Committee Print, 10/00/86.

1986

20

111

CFTC Reauthorization

Reauthorization, 1990

News article : New leaders in Congress in 1989 : CFTC reauthorization. Washington Outlook, 10/00/88.

1989

20

112

CFTC Reauthorization

Reauthorization, 1992

Letter, Wendy L. Gramm to E. Thomas Coleman and Kika de la Garza, 07/22/92, includes list of Conferees.

Letter, Mark, C. Brickell to CFTC Conferees, 07/22/92.

Letter, Nicholas F. Brady to Patrick J. Leahy, U.S. Senate, 07/27/92.

Article : CFTC Reauthorization legislation : the exchange perspective, sent to CFTC Conferees by CBOT, CME and GLOBEX, 07/20/92.

1992

20

113

CFTC Reauthorization

Futures Trading Practices Act of 1992

News Release : President Bush signs CFTC reauthorization bill : CFTC Chairman Gramm calls law "farsighted," 10/29/92.

1992

20

114

CFTC - SEC Merger

Implications of Merger

Notes on staff meeting in FCW's office, 04/19/83.

Letter, Philip McBride Johnson to John Dingell, MC with following attachments :

1. Comparison of SEC and CFTC Regulations.

2. Risk Disclosure.

3. Denial of registration.

4. Performance=based brokerage fees.

5. Market surveillance.

6. Volume of futures trading.

7. soybean investigation.

8. "Bucket Shop" penalties

9. Commodity participation by securities brokerage houses, 06/16/82.

• Memo, Dennis A. Dutterer, RE Request for public comment on ways to streamline or simplify operational requirements prescribed by the Commission for Commodity professionals that are also registered with the Securities and Exchange Commission. 04/26/83.

Article : Federal regulation of futures trading : responses to changing times by Susan M. Phillips, draft 06/21/84.

1983

20

115

CFTC - SEC

Joint Accords

Joint explanatory statement of the CFTC and SEC, n.d.

Letter, Dan Glickman to John D. Dingell, 02/09/84.

Chronology, CBOT v. CFTC, 01/17/84 to 02/29/84.

Letter, John D. Dingell to John S. R. Shad, SEC, 01/18/84.

Letter, Philip McBride Johnson to E. de la Garza, with attachments, 02/19/82.

Statement of FCW regarding the CFTC-SEC adoption of the policy statement on non-diversified stock indices, 01/18/84.

News article : SEC-CFTC accord to be tested, 12/19/83.

News release : CFTC and SEC agree to publish Federal Register, 01/18/84 and 01/26/84.

1982-1984

21

116

CFTC - SEC

Merger Articles

Letter from Dan Glickman and Dennis E. Eckart to "Colleague" RE Time to revanp our financial regulatory structure : Merge the CFTC and the SEC, 03/23/90.

News articles :

- West says farmer interests to suffer if CFTC, SEC merge, 10/19/82.

- SEC & CFTC request comment on duplication of regulation, 05/09/83.

- Brady again calls for market reforms but opposes merging SEC, CFTC, 02/22/90.

- Study of financial regulators, 10/15/82.

- Regan says new financial study is needed to head off Congress, 12/06/82.

- SEC-CFTC merger likely, but still years off, 10/08/82.

- Ex Sec-Commissioner Friedman targets SEC, CFTC merger, 10/11/82.

- SEC official asks merger of agency with CFTC. Securities, Commodities industries oppose SEC-CFTC merger, 05/17/83.

- SEC/CFTC merger might be "workable," CFTC acting chairman says, 07/19/83.

- CFTC acting chairman 0pposes merger with SEC, 07/19/83.

- Puppylike watchdog irks some but pleases commodities industry : will it merge with the SEC? 08/02/84.

- CFTC(!) commissioner says Congress should examine CFTC/SEC merger, 12/16/85.

- Dingell wants more than a bit part in CFTC reauthorization drama, 07/15/85.

- CFTC head says futures regulation to remain under CFTC, 00/00/86.

1982-1990

21

117

CFTC - SEC

Jurisdiction

Letter from Susan M. Phillips to Phil RE SEC/CFTC jurisdiction issue, 01/12/83.

1983

21

118

CFTC - SEC

Competition articles

News articles :

- Thompson drafted for futures fight, 04/03/??.

- Securities group asks CFTC, SEC to slow new stock contract approvals, 03/18/83.

- Rift deepens between SEC, CFTC over stock-index products, 02/16/90.

- SEC futures plan sparking turf wars, congressmen say, 03/06/84.

- Rep Dingell continuing to study stock index instruments regulation, 03/17/83.

- Dingell pressuring CFTC for signs of hedging in index trading, 02/28/83.

- SEC, CFTC in friendly fight over indexes, but neither backs down, 03/07/83.

1983-1985

21

119

CFTC - SEC

Interagency study

• Memo, Paula A. Tosini RE Interagency Study, Chapter I, 12/12/84.

1984

21

120

CFTC - SEC

Reauthorization 1990

Article : The Wheat Grower, Sept-Oct/90.

1990

21

121

Chase Manhatten Bank

Swap Transactions

• Memo with attachments, Marshall E. Hanbury RE Letter fro m the Comptroller of the Currency concerning Chase Manhatten Bank Swap Transactions, 07/31/87.

1987

21

122

Clearing and credit issues

Working Group Recommendations

• Memo with attachments, Andrea M. Corcoran RE CFTC status report on working group recommendations with respect to clearing and credit issues, 12/01/88.

1988

21

123

Chicago Mercantile Exchange

Crude Oil Futures

Staff Document

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade futures contracts in crude oil, 06/11/85. Agenda item for commission meeting on 06/18/85.

1985

21

124

Chicago Mercantile Exchange

Eurodollar Options

Staff Document

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market in options on the three-month Eurodollar futures contract, 03/11/85. Agenda item for commission meeting on 03/19/85.

1985

21

125

Chicago Mercantile Exchange

Live Hog Futures

Staff Document

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade options on live hog futures contracts, 01/22/85. Agenda item for commission meeting on 01/29/85.

1985

21

126

Chicago Mercantile Exchange

Swiss Franc and British Pound Options

Staff Document Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market in options on Swiss Franc and British Pound Sterling futures contracts, 02/15/85. Agenda item for commission meeting on 02/22/85.

News release : CFTC approves CME application, 02/22/85.

1985

21

127

Chicago Mercantile Exchange

Feeder Cattle Futures

Staff Document Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Chicago Mercantile Exchange for designation as a contract market in options on Feeder Cattle futures contracts, 12/24/86. Agenda item for commission meeting on 01/06/87.

1986

21

128

Chicago Mercantile Exchange

Dollar Index Futures Contracts

Staff Document Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Chicago Mercantile Exchange for designation as a contract market in CME Dollar Index futures contracts... 02/10/87.

1987

21

129

Chicago Mercantile Exchange

Federal Funds Rate Futures

Staff Document Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Chicago Mercantile Exchange for designation as a contract market in Federal Funds Rate futures contracts... 11/08/88.

1988

21

130

Chicago Mercantile Exchange

Morgan Stanley Capital International

Staff Document Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade futures contracts on the Morgan Stanley Capital International Europe, Australia, Far East Index, 12/06/88.

1988

21

131

Chicago Mercantile Exchange

Nikkei Futures Contracts

Staff Document Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade futures contracts on the Nikkei Stock Average, 10/31/88.

1988

21

133

Chicago Mercantile Exchange

One Month LIBOR futures

• Memo, Division of Trading and Markets RE Application of the Chicago Mercantile Exchange for designation as a contract market in one-month LIBOR futures contracts,, 10/23/89.

1989

21

134

Chicago Mercantile Exchange

Physical Gold Options

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade physical gold options, 12/11/89.

1989

21

135

Chicago Mercantile Exchange

European Exercise Options on Physical Gold

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market to trade physical gold options, 12/11/89. (Duplicate of previous folder.)

1989

21

136

Chicago Mercantile Exchange

Pound - Yen - Deutsche Mark Futures

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for contract market designation in 1) Options on British Pound Sterling Euro-Rate Differential Futures,2) Options on Japanese Yen Euro-Rate Differential Futures,3) Options on Deutsche Mark Euro-Rate Differential Futures, 11/13/89.

1989

21

137

Chicago Mercantile Exchange

Three-month Euromark time deposit futures

• Memo, Division of Economic Analysis RE Application of the Chicago Mercantile Exchange for designation as a contract market in three-month Euromark time deposit futures and futures options, 08/28/92.

1992

21

138

Chicago Mercantile Exchange

Brady Task Force Recommendations

Chicago Mercantile Exchange Implementation Brady Task Force Recommendations, 09/00/88.

1988

22

139

Chicago Mercantile Exchange

Globex Trading System

• Memo, Doug Leslie to FCW RE Globex meeting, 02/02/89.

• Memo, Division of Trading and Markets RE Chicago Mercantile Exchange's proposed Globex trading system, 01/25/89. • Comments on Blobex, Wendy L. Gramm, 02/02/89.

1989

22

140

Chicago Mercantile Exchange

CME-OCC Cross-margining program

• Memo, Andrea M. Corcoran RE Expansion of CME-OCC Cross-Margining Program to include market professions (CME Submission No. 90-14) -- Request for clarification of applicability of Rule 1.46, 11/21/91.

• Memo, Division of Trading and Markets RE The Chicago Mercantile Exchange's and the Intermarket Clearing Corporation's proposals to expand their respective cross-margining programs with The Options Clearing Corporation to include the cross-exchange net margining of the positions of certain market professionals, 11/21/91.

1991

22

141

Chicago Mercantile Exchange

S&P 500 futures and options

• Memo, CME Board of Governors to Membership RE Recent events relating [to] the S&P 500 Futures and Options, 10/26/87.

1987

22

142

Chicago Mercantile Exchange

SIMEX news

News briefing paper, Table of Contents for CME/SIMEX news briefing paper, 08/27/84.

Singapore Link

1987

22

143

Coffee, Sugar, and Cocoa Exchange

International Market Index Futures

Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Coffee, Sugar & Cocoa Exchange, Inc. for designation as a contract market in International Market Index Futures Contracts, 12/07/88.

Singapore Link

1988

22

144

COMEX

Five-day silver options

Memos, Division of Economic Analysis and Division of Trading and Markets RE Application of the Commodity Exchange, Inc. for designation as a contract market in five-day silver option contracts, 09/13/91.

Singapore Link

1991

22

145

Committee on Banking, Finance, and Urban Affairs

Report on the Regulation of Futures Margins

Report on the Regulation of Futures Margins, Committee on Banking, Finance, and urban Affairs House of Representatives, Subcommittee on Domestic Monetary Policy, August, 1988.

1988

22

146

Commodity Exchange Act

Amendments

Documents concerning amendments to the Commodity Exchange Act.

1982

22

147

Commodity Exchange Act

Forward Contract Exclusion

Forward Contract Exclusion : an analysis of Off-Exchange Commodity-Based Instrument, as submitted for publication, 08/29/85.

1985

22

148

Commodity Exchange Act

Evaluation of Economic purpose

Memo : Kenneth M. Raisler, RE Evaluation of "Economic Purpose" under Section 5(g) of the Commodity Exchange Act, 03/27/86.

Forward Contract Exclusion : an analysis of Off-Exchange Commodity-Based Instrument, as submitted for publication, 08/29/85.

1986

22

149

Commodity Exchange Act

Board of Trade Clearing Corporation

Staff Document

• Memo, Division of Trading and Markets RE Board of Trade Clearing Corporation Bylaw 110 -- Settlement Price, 02/13/87.

1987

22

150

Commodity Exchange Act

Amendments

• Memo, Dennis Klejne RE Proposed amendments to the Commodity Exchange Act in connection with international information-sharing, 08/15/88.

1988

22

151

Commodity Exchange Inc.

US Gulf Coast Jet Fuel Futures

• Memo, Division of Economic Analysis RE Application of the Commodity Exchange, Inc. for designation as a futures contract market in U.S. Gulf Coast jet fuel, 09/03/92.

1992

22

152

Commodity Futures Contracts

Application of West German Statutes...

Application of West German statutes to United States commodity futures contracts : an unnecessary clash of policies by William P. Rogers and Jerry W. Markham, Law & Policy in International Business, vol. 19, pp. 273-324, 1987.

1987

22

153

Commodity Futures Improvements Act

H.R. 2869

• Memo, Pat G. Nicolette RE H.R. 2869. Brief Explanation of the Commodity Futures Improvements Act of 1989 and copy of floor debate as printed in Congressional Record, 09/13/89.

News release : House Agriculture Committee approves Futures Trading Reform Bill, 08/02/89 ; Futures Trading Bill wins unanimous House approval, 09/13/89.

1989

22

154

Commodity Futures Law Reports

Bank Activities , Sale of Precious Metals

Article : Bank activities involving the sale of precious metals. Commodity Futures Law Reports, 08/00/85.

1985

22

155

CPO / CTA issues

Commodities Law Institute

Article : Panel on CPO / CTA issues, 11th annual Commodities Law Institute, 10/19-21/88, Chicago, IL, M. Holland West.

1988

22

156

Commodity Pool Operators

Past Performance Records / Pool Expenses

Letter, Edwin L. Lyon to CFTC and SEC RE Statement of the CFTC regarding disclosure by Commodity Pool Operators of Past Performance Records and Pool Expenses and Request for Comments, 06/13/89.

1989

22

157

Commodity Pool Guidelines

NASAA Guidelines

Memos, Robert J. Amedeo, Rockwell Futures Management, Inc. RE Commodity Pool Guidelines , 10/08/90, and Revised Commodity Pool Guidelines 01/22/90.• List, Commodity Pool Advisory Committee.

1990

22

158

Commodity Pool Operators

Proposed Regulation

• Memo, Andrea M. Corcoran RE Porposed Rule 4.20(d) prohibiting certain transactions between commodity pool operators and their affiliates, 08/02/91.

1991

22

159

CPO's

Interpretive Letter

News letter : CFTC Advisory, CFTC issues interpretive letter to registered CPO of certain multi-advisor and multi-investee pool commodity pools, 07/28/92.

1992

22

160

Commodity Trading Advisor

Performance Records of CPOs and CTAs

News letter : Managed Funds Advisory Number 1, Adjustment for additions and withdrawals to computation of rate of return in performance records of CPOs and CTAs, Draft, CFTC Division of Trading and Markets, 11/27/90.

1990


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