Baylor University Poage Library

Box 23 - 24


Fowler C. West Papers

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 bookletsummarizingadminis 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 IndexFutures :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 Applicationof the CSCE for designation as a contract market to trade futures contractson the consumer price index for urban wage earners and clerical workers,04/04/85.

Memo and letter, Andrea M. Corcoran RE CSCE and CSC ClearingCorporation, 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 ofConsumer Protection, Federal Trade Commission, before the Industry Councilfor Tangible Assets, 04/16/91.

1991

23

165

CFTC / Division of Trades and Market

Rules and Regulations

Rules :Ten cautionary rules for institutionalinvestors,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 Committeeon 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 committeemeeting, 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 studiesregarding the CFTC Dual Trading StudyJune 14, 1990, 08/24/90.

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

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

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

1990

23

168

Dual Trading

Restrictions

Memo,Division of Trading and Markets RE ProposedRegulation 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 markupof H.R. 6156 on Wednesday, June 16, at 10:00 a.m. in Room 2123, Rayburn,06/14/82..

Memo, Timothy E. Wirth REH.R. 5447, 06/14/82.

1982

23

170

Enforcement

Budget Briefing

Memo, Dennis Klejna RE Enforcement Activity - SecondQuarter Fy 1985, 04/17/85.

1985

23

171

Eurodollar Futures

In-depth market analysis

Report :In-Depth market analysis of EurodollarFutures :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 exportembargo on futures market hedgers as requested by the House committeeon 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 subsidiaryof FCM to enter into certain option contracts with a federal power marketingagency, 08/09/88.

1988

23

175

Federal Reserve

Margin Study

Statement by J. Charles Partee, Member, Board ofGovernors 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 Departmentof 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 Boardof Governors of the Federal Reserve System to Permit Bank Holding Companiesto provide investment advice on financial futures and options on futures.

1986

23

178

Federal Reserve

Testimony, Alan Greenspan

Testimony, Alan Greenspan, Chairman, Board of Governorsof the Federal Reserve System before theCommittee on Banking, Housing & UrbanAffairs, U.S. Senate, 01/02/88.

1988

23

179

Federal Reserve

Testimony, Alan Greenspan

Testimony, Alan Greenspan, Chairman, Board of Governorsof the Federal Reserve System before theCommittee on Banking, Housing & UrbanAffairs, 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 SusanM. Phillips, Looking Ahead, p. 21.

1990

23

182

Fiduciary Duty

Commodity Exchange Act

Article :Salesmen as fiduciaries under the CommodityExchange 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 interimreport of the working group on financial markets submitted to the Presidentof the United States, 05/16/88.

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

1988

23

184

Financial Planners

Registration, New York

Memo, Marshall E. Hanbury RE New York bills whichwould require certainfinancial plannersto register with the state,07/15/87.

1987

23

185

Financial Products Advisory Committee

Committee minutes

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

1986

24

186

Financial Products Advisory Committee

Committee minutes

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

1989

24

187

Financial Products Advisory Committee

Committee minutes

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

1992

24

188

Floor Broker Registration

Rule 1.62

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

1985

24

189

Freedom of Information Act

Correspondence

Memo and letter, Donald L. Tendick RE Freedom ofInformation 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 marketreformand its potential impact on the futuresmarkets, 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 FuturesTrading Act of 1982 (H.R. 5447).Hearings before the Subcommittee onConservation, Credit, and Rural Development, 02/23-25/82. With attachments.

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

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

1982

24

193

Futures TradingPractices Act of 1989

S. 1729

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

Futures Trading Practices Act of 1989, S. 1729.LegislativeBulletin ofDemocratic 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 takeinside trackin 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 withbrokers, 04/23/84.

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

-Trading grainthe old-fashioned way,04/06/84.

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

-Battle of the exchanges :the clash over financial futures andoptions grows intense.Who s aheadand 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 bankruptcyblind 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 reflectschanging 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, CommoditiesLaw Letter, 05/00/87.

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

1987

24

198

Futures Trading

Articles

News Articles:

-Managed futures funds in European 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 futuresprices by J. Douglas Gordon, USDA Economic Research Service, Technicalbulletin 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 commoditycustomers; risk disclosure by futures commission merchants and introducingbrokers to customers, [00/00/85].

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

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

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

Article : Disclosure document track record formatnot perfect, but it s working, 06/00/83.

1985

24

202

Fraud

Risk disclosure rule 1.55

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

1986

24

203

Fraud

State laws - California

Information

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

1986

24

204

Fraud

Suitability

Court document, Chongil and Sumpok Vi v. InternationalTrading Group, Ltd., and James R. Heth.CFTC Docket No. 85-R281.CourtDocument, Anton Phacelli v. Conticommodity Services, Inc. and GabrielBorenstein,CFTC docket No. R 80-385-80-704.

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

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

Articles:

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

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

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

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

1988

24

205

Fraud

Securities and Commodities Fraud

Document, Department of Justice press briefing RECrime in the suites,01/31/89.

1989

24

206

Fraud

Telemarketing

Article :Bill on telemarketing fraud containsa 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 ofTrade, 03/00/84.

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

1984

24

208

Fraud

Articles

Articles:

-Subject matter jurisdiction of Federal District Courts over transnationalcommodities 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 deterfraudsters,12/16/85

1985

24

209

Fraud

Articles

Articles :

-Federal, state investigators raid suspectedboiler roomoffice,12/20/85.

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

-State puts heat onboiler 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


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