Baylor University Poage Library

Box 23 - 24


Series : CFTC

Sub-series : Commission Subjects 

Boxes 23 - 24 : 49 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

23

161

Commodity Violators Bulletin

 

News Release : CFTC publishes booklet summarizing adminis trative proceedings and civil injunctive actions, 05/09/84.

1984

23

162

Coffee, Sugar & Cocoa Exchange

Economic Index Futures

Presentation by F. Helmut Weymar : Economic Index Futures : The next new wave of futures contracts. Given at the New School, Sixth Annual Conference on Futures and Options Markets, 11/17/84.

1984

23

163

Coffee, Sugar & Cocoa Exchange

CSC Clearing Corporation

• Memo, Division of Economic Analysis RE Application of the CSCE for designation as a contract market to trade futures contracts on the consumer price index for urban wage earners and clerical workers, 04/04/85.

• Memo and letter, Andrea M. Corcoran RE CSCE and CSC Clearing Corporation, 04/15/85.

Letter, Harry J. Furey to Andrea M. Corcoran, 04/09/85.

Rules, CSC Clearing corporation, 1982.

Margin Rules, CSCE, 1982.

News release : CFTC to consider application of CSCE, 04/15/85.

1985

23

164

CFTC / Federal Trade Commission

Remarks of Barry J. Cutler

Remarks of Barry J. Cutler, Director, Bureau of Consumer Protection, Federal Trade Commission, before the Industry Council for Tangible Assets, 04/16/91.

1991

23

165

CFTC / Division of Trades and Market

Rules and Regulations

Rules : Ten cautionary rules for institutional investors, Intermarket, 01/00/86.• Advisory, 04/25/86.• Advisory, 04/17/86.

1986

23

166

Drought Policy Committee

Report

Report of the Interagency Drought Policy Committee on drought conditions and the Federal response, 08/12/88.

Potential impacts of the 1988 drought on fisheries, 00/00/88.

Drought Advisory Number 88/8, 08/10/88.

Interior report, Federal Interagency Drought Policy committee meeting, 08/12/88.

• Memo : Heat continues from Great Plains to East Coast, 08/12/88.

Article : Drought brings grim outlook for nesting ducks, etc. Fish and Wildlife News, May-June-July, 1988

1988

23

167

Dual Trading Study

Reports

• Memo, Tony Baptiste RE Presentation of various studies regarding the CFTC Dual Trading Study - June 14, 1990, 08/24/90.

News Release : Researchers say CFTC dual-trading study inadequate to support proposed curbs, 06/14/90.

Report : Review of the CFTC study, "Economic Analysis of Dual Trading on Commodity Exchanges," by Tom Smith and Robert E. Whaley, 03/00/90.

Report : A Critique of the CFTC study : "Economic Analysis of Dual Trading on Commodity Exchanges," prepared by Law & Economics Consulting Group, Inc., 03/12/90/.

1990

23

168

Dual Trading

Restrictions

• Memo, Division of Trading and Markets RE Proposed Regulation 155.5 -- Dual Trading Restriction, 01/03/90.

• Memo, FCW RE Dual Trading, 02/08/89. Statement, Robert R. Davis RE Dual trading, 01/04/90.

1990

23

169

Energy and Commerce Committee

Amendments

Amendment to H.R. 5447 as reported offered by Mr. Wirth.

• Memo, Timothy E. Wirth RE Amendments to be offered at markup of H.R. 6156 on Wednesday, June 16, at 10:00 a.m. in Room 2123, Rayburn, 06/14/82..

• Memo, Timothy E. Wirth RE H.R. 5447, 06/14/82.

1982

23

170

Enforcement

Budget Briefing

• Memo, Dennis Klejna RE Enforcement Activity - Second Quarter Fy 1985, 04/17/85.

1985

23

171

Eurodollar Futures

In-depth market analysis

Report : In-Depth market analysis of Eurodollar Futures : A financial futures contract that employs cash settlement, [00/00/92].

[1992]

23

172

Export Embargo

Futures Market Hedgers

Report : A Study of the effects of the 1980 export embargo on futures market hedgers as requested by the House committee on Appropriations,10/03/86.

1986

23

173

Futures Commission Merchant, FCM

Disclosure Requirements

Article : CTAs challenge FCMs on disclosure requirements, 03/25/86.

1986

23

174

Futures Commission Merchant, FCM

Federal Power Marketing Agency

Advisory, CFTC issued order authorizing subsidiary of FCM to enter into certain option contracts with a federal power marketing agency, 08/09/88.

1988

23

175

Federal Reserve

Margin Study

Statement by J. Charles Partee, Member, Board of Governors of the Federal Reserve System before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, U.S. House of Representatives, 04/23/82.

1982

23

176

Federal Reserve

Margin Study

Letters of official comment from CFTC, SEC and Department of the Treasury on A Review and Evaluation of Federal Margin Regulations. Correspondents :

- Helms, Jesse

- Phillips, Susan M.

- Regan, Donald T.

- Shad, John S. R.

- Volcker, Paul A.

1985

23

177

Federal Reserve

Regulation Y

• Memo, Kenneth M. Raisler RE Action of the Board of Governors of the Federal Reserve System to Permit Bank Holding Companies to provide investment advice on financial futures and options on futures.

1986

23

178

Federal Reserve

Testimony, Alan Greenspan

Testimony, Alan Greenspan, Chairman, Board of Governors of the Federal Reserve System before the Committee on Banking, Housing & Urban Affairs, U.S. Senate, 01/02/88.

1988

23

179

Federal Reserve

Testimony, Alan Greenspan

Testimony, Alan Greenspan, Chairman, Board of Governors of the Federal Reserve System before the Committee on Banking, Housing & Urban Affairs, U.S. Senate, 03/31/88.

1988

23

180

Federal Reserve

Earlier Fedwire Opening

• Memo, Andrea M. Corcoran RE FRB request for comments : earlier fedwire opening, 10/13/92.

1992

23

181

Futures Industry Association

FIA Review

FIA Review, Jan/Feb 1990. See interview with Susan M. Phillips, Looking Ahead, p. 21.

1990

23

182

Fiduciary Duty

Commodity Exchange Act

Article : Salesmen as fiduciaries under the Commodity Exchange Act by Arthur L. Shipe in Securities & Commodities Regulation, 01/15/92.

1988

23

183

Financial Markets

Working Group Report

Press conference announcing release of the interim report of the working group on financial markets submitted to the President of the United States, 05/16/88.

Executive Order, Working Group on Financial Markets, The White House, 03/18/88.

1988

23

184

Financial Planners

Registration, New York

• Memo, Marshall E. Hanbury RE New York bills which would require certain "financial planners" to register with the state, 07/15/87.

1987

23

185

Financial Products Advisory Committee

Committee minutes

Minutes, CFTC Financial Products Advisory Committee Minutes, 04/10/86.

1986

24

186

Financial Products Advisory Committee

Committee minutes

Minutes, CFTC Financial Products Advisory Committee Minutes, 11/17/89.

1989

24

187

Financial Products Advisory Committee

Committee minutes

Minutes, CFTC Financial Products Advisory Committee Minutes, 07/23/92.

1992

24

188

Floor Broker Registration

Rule 1.62

CFTC, 17 CFR Part 1 : Contract market enforcement of floor broker registration requirements, 05/20/85.

1985

24

189

Freedom of Information Act

Correspondence

• Memo and letter, Donald L. Tendick RE Freedom of Information Act, 02/24/87.

1987

24

190

Futures Market Reforms

News articles

News Articles :

- Greenspan calls for caution in reform of securities markets, 05/13/88.

- In Black Monday's wake, futures market flexes muscle, 10/16/88.

- Securities market "reform" and its potential impact on the futures markets, 05/00/91.

1988-1990

24

191

Futures Trading Act of 1978

Conference Report

Futures Trading Act of 1978, Conference Report, 09/25/78. Added to the record by commissioner Fowler West, 09/18/85.

1985

24

192

Futures Trading Act of 1982

H.R. 5447

Positions of witnesses on key points of the Futures Trading Act of 1982 (H.R. 5447). Hearings before the Subcommittee on Conservation, Credit, and Rural Development, 02/23-25/82. With attachments.

Supplemental statement of Philip McB. Johnson, Chairman, CFTC before the Subcommittee on Conservation, Credit, and Rural Development of the house Committee on Agriculture, [00/00/82].

• Memo with attachments, FCW RE Committee on Energy and Commerce Action on H.R. 5447, 06/22/82.

1982

24

193

Futures Trading Practices Act of 1989

S. 1729

Letter from Committee on Agriculture, Nutrition, and Forestry, US Senate RE Futures Trading Practices Act of 1989, S. 1729,, 10/17/90. Same letter sent to George Mitchell and Robert Dole. Attachment : Compromise amendment on intermarket coordination by Senators Leahy, Lugar, Bond, Dodd, and Heinz.

Futures Trading Practices Act of 1989, S. 1729. Legislative Bulletin of Democratic Policy Committee, 06/21/90

1990

24

194

Futures Trading

Articles

News articles :

- Reader worries over rumors and who controls prices, 03/26/84.

- Futures markets affects our annual income, 03/22/84.

- Amateur spectators in commodities face pros holding the aces, 02/16/84.

- Brokerage firms caught in a pinch, 08/13/84.

- Management Flip-Flop at Phibro-Salomon, 08/16/84.

- Riding the Elliott Wave : Here's how Bob Prechter Does it, 08/22/84.

- Young farmers take ‘inside track' in futures trading, 09/05/84.

- Why commodity brokers are getting clobbered, 09/11/84.

- Do managed accounts still make sense, 09/26/84.

- When the markets cry, ‘Foul!' 10/01/84.

- How to win big and lose small, 06/04/84.

- In defense of commodities, 05/27/84.

- Computers and commodity speculation, 06/13/84.

- More firms use futures, options to hedge rates, 06/18/84.

- Families in the pits, 03/00/84.

- Future is now : Hedging assets and shifting risks, 03/26/84.

- Sting in commodities trading, 05/13/84.

- Don't holler : more investors are arbitrating disputes with brokers, 04/23/84.

- What it takes to be a trading advisor, 04/09/84.

- Trading grain ‘the old-fashioned way,' 04/06/84.

- Not Mickey Mouse markers, 04/06/84.

- Battle of the exchanges : the clash over financial futures and options grows intense. Who's ahead - and why, 03/09/84.

- Plus numerous shorter articles.

1984

24

195

Futures Trading

Articles

News articles :

- Staying out of trouble, 12/00/85.

- Windfall or downfall, 03/15/85.

- Futures shock is prompting new talk about insurance, 06/28/85.

- Casino society, 09/16/85.

- Grim futures for the brokers, 10/30/85.

- Should common clearing be next industry step?, 10/00/85.

- Plus several shorter articles.

1985

24

196

Futures Trading

Articles

News Articles :

- How to protect against FCM bankruptcy ‘blind spots,' 01/00/86.

- Ten cautionary rules for institutional investors, 01/00/86.

- Fighting for an edge in trading, 01/00/86.

- Discounters not discounting potential for futures growth, 02/00/86.

- Trade trends, 02/00/86.

- Wall Street's electronic cops, 02/00/86. Volume reflects changing thrust of futures industry, 03/00/86.

- Are futures exchanges becoming outdated?, 03/20/86.

- Futures Market : Tempting but tricky, 05/00/86.

- Inadvertent futures contracts, 04/16/86.

- New institutional relationship : the real story of program trading, 05/19/86.

- Futures, the coveted scapegoat, 12/17/85.

1986

24

197

Futures Trading

Articles

News Articles : Insider Trading in Futures, Commodities Law Letter, 05/00/87.

- Book review : the history of commodity futures trading and its regulation, Commodities Law Letter, 05/00/87.

1987

24

198

Futures Trading

Articles

News Articles :

- Managed futures funds in Europe - an uneven playing field, 01-02/00/92.

- Top of the pops, 02/27/92.

- Futures shock, 04/25/92.

1992

24

199

Futures Trading

USDA bulletin

Distribution of daily changes in commodity futures prices by J. Douglas Gordon, USDA Economic Research Service, Technical bulletin Number 1702, 07/00/85.

1985

24

200

Foreign Futures

Articles

Articles :

- Trading and markets interpretative letter no. 86-4, CFTC Advisory, 04/03/86.

- Treasury amendment & foreign currency forward transactions, 12/00/85.

1986

24

201

Fraud

Risk disclosure rule 1.55

Document, CFTC 17 CFR Part 1, Protection of commodity customers; risk disclosure by futures commission merchants and introducing brokers to customers, [00/00/85].

• Memo, Division of Trading and Markets RE Disclosure requirements for futures commission merchants, 11/10/82.

• Memo, Division of Trading and Markets RE Summary of comments of proposed amendment to Rule 1.55..., 02/15/83.

Document : Options on futures risk disclosure statement, 01/00/83.

Article : Disclosure document track record format not perfect, but it's working, 06/00/83.

1985

24

202

Fraud

Risk disclosure rule 1.55

Article : Commodity Fraud - a $1 billion swindle, Senior consumer alert, a special bulletin for complaint-handlers, produced by the AARP..., 04/00/86.

1986

24

203

Fraud

State laws - California

Information

• Memo, Kenneth M. Raisler RE California law requiring registration of persons who conduct certain types of telephone sales, 08/06/86.

1986

24

204

Fraud

Suitability

Court document, Chongil and Sumpok Vi v. International Trading Group, Ltd., and James R. Heth. CFTC Docket No. 85-R281. Court Document, Anton Phacelli v. Conticommodity Services, Inc. and Gabriel Borenstein, CFTC docket No. R 80-385-80-704.

Report, Account Opening Survey, NFA, 09/05/85.

Document, Commodity new account - suitability, 01/05/81. Cover letter from William E. Seale.

• Articles :

- Damages in broker/customer suits, 09/08/82.

- NFA progress in meeting goals cited as CFTC report to Congress approaches, 9/20/85.

- Recent cases of interest : Churning, Jurisdiction, Counterclaims and Suitability, 11/00/84.

- "Know your customer," disclosure of fees and FCM & IB discretionary account disclosure, 09/00/85.

1988

24

205

Fraud

Securities and Commodities Fraud

Document, Department of Justice press briefing RE "Crime in the suites," 01/31/89.

1989

24

206

Fraud

Telemarketing

Article : Bill on telemarketing fraud contains a zinger : would affect securities sold over the telephone., 04/03/89.

Attachment : H. R. 1354, 03/09/89

1989

24

207

Fraud

Articles

Articles :

- Malpractice for brokers? 03/26/84.

- 13 firms linked to major fraud in sugar trade, n.d.

- Plus several other shorter articles.

• Brochures :

- Do's and Don'ts of Commodity Futures Trading, Chicago Board of Trade, 03/00/84.

- Before you say Yes : 15 questions to turn off an investment swindler, National Futures Association, 04/00/84.

1984

24

208

Fraud

Articles

Articles:

- Subject matter jurisdiction of Federal District Courts over transnational commodities fraud claims, 02/00/85.

- How naive investors fall victim to greed, 05/12/85.

- Calif. fraud unit probes metal sales to investors, 05/31/85.

- San Diego's strange characters make it fraud's court jester, 06/06/85.

- CBOE files petition against SEC ruling on stocks, options, 07/01/85.

- Expansion of fraud law, 08/27/85.

- State, U.S. crack down on precious metals sales, 09/13/85.

- CFTC accuses Murlas commodities of churning accounts, 09/17/85.

- U.S. agency battles precious metal frauds, 12/16/85.

- Multi-agency fraud task force set up to focus on Southland, 12/06/85.

- Securities bust nets 17/17 to go, 12/13/85

- From gold bars to jail bars for 16 in fraud roundup ;

- Brittan claims new law will deter ‘fraudsters,' 12/16/85

1985

24

209

Fraud

Articles

Articles :

- Federal, state investigators raid suspected ‘boiler room' office, 12/20/85.

- Federal agents raid Laguna Hills firm, 12/06/85.

- State puts heat on ‘boiler rooms,' 12/20/85.

- How a 23-year-old broker went from riches to scandal and jail, 02/27/86.

- SEC says buyer beware, 03/20/86.

- Public continues to be sold questionable trading programs, 03/00/86.

- Franklin fraud substantiated, 04/09/86.

- Telemarketing : many lose as scams spread, 04/20/86.

- Futures shock, 11/11/86.

- Plus numerous shorter articles.

1986


rightsideback