Baylor University Poage Library

Box 27 - 29


Series : CFTC

Sub-series : Commission Subjects 

Boxes 27 - 29 : 71 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

27

265

MidAmerica Commodity Exchange (MACE)

Soybean Futures

• Memo from The Division of Trading and Markets, the Division of Economic Analysis. RE Application of the MACE for designation as a contract market to trade options on Soybean Futures contracts. 02/22/85.

1985

27

266

MidAmerica Commodity Exchange (MACE)

Soybean Meal Futures

• Memo from The Division of Economic Analysis. RE Application of the MACE for designation as a contract market to trade options on Soybean Meal Futures contracts. 03/20/85.

1985

27

267

Managed Accounts

Bunched Order Executions

Report : Issues Related to Allocation of Bunched Order Executions for Managed Accounts. Report, two copies.

1991

27

268

Manipulation

Futures Market

Article : Manipulation of Futures Markets: Redefining the Offense." Wendy Collins Perdue. Fordham Law Review. Vol. 56, 1987.

1987

27

269

Manipulation

Commodities Market

Paper : Manipulation in Commodities Markets: Law and Public Policy." Barry J. Mandel. For presentation at a conference. 1990.

1990

27

270

Margins

 

• "Margins" Short paper on important issues. 1989.

• Memo From: Paula Tosini and Al McGartland, Special Assistant to the Chairman. RE Study on "Margin Requirements and Stock Market Volatility." FRBNY review article. 11/04/88.

Paper : Much Ado About Margins by William P. Albrecht, CFTC Commissioner.

Treasury News : Remarks of the Honorable Robert R. Glauber on Broker- Dealer Regulation. 01/11/90.

Articles :

- Stock Index Futures Margins." 12/18/89.

- Six short articles on Margins. Futures Margins vs. Securities Margins. Karsten Mahlmann, Chairman CBOT. 1988.

- Stock Index Futures Margins as a Percentage of Contract Value. 01/23/90

Report : Report on the Regulation of Futures Markets. Congressional report for the Subcommittee on Domestic Monetary Policy. 08/88.

1982-1990

27

271

Market Reform Act

 

Letter from John Dingell to Charles Bowsher, Comptroller General, GAO RE Implementation of the Market Reform Act. 07/22/92

Four letters regarding the Market Reform Act

1990-1992

27

272

Minneapolis Grain Exchange (MGE)

Rule Enforcement Review

News Release announcing the notification of the MGE of the results of a rule enforcement review. 12/28/84. "Rule Enforcement Review of the Minneapolis Grain Exchange" (attached to above). CFTC. 12/12/84.

1984

27

273

Minneapolis Grain Exchange (MGE)

High Fructose Corn Syrup Futures

Memos

- From Division of Trading and Markets. RE Application of the MGE for designation as a contract market in High Fructose Corn Syrup-55 futures contracts. 03/02/87.

• From: Division of Economic Analysis. RE Application of the MGE for designation as a contract market in High Fructose Corn Syrup-55 futures contracts and proposed Exchange rules 1801 through 1823. 03/02/87.

1987

27

274

Minneapolis Grain Exchange (MGE)

Enforcement Review

Memo from Division of Trading and Markets RE Follow-up rule enforcement review of the MGE. 03/21/90.

• Attached : "Follow-up Rule Enforcement Review of the Minneapolis Grain Exchange ." CFTC. 03/27/90.

1990

27

275

Monographs

Economic Analysis of Price Manipulation™"

Paper : Economic Analysis of Price Manipulation Under the Commodity Exchange Act, 1945-1974. Aaron C. Johnson. 94p. 1976.

1976

27

276

Monographs

"Coffee ‘C' Futures and the CFTC."

Paper : "Coffee ‘C' Futures and the CFTC." 13p. 1977.

1976

27

277

Monographs

"The Aftermath of Hunt™"

Paper : "The Aftermath of Hunt: A New Look at Speculation, Manipulation, and the Regulation of the Futures Industry." Barclay Leib. 206p. 1981.

1981

27

278

Monographs

"The Economics of Performance Margins ™"

Paper : "The Economics of Peformance Margins in Futures Markets: A History of Margin Changes at the Chicago Board of Trade." Kahl, Rutz, and Sinquefield. 51p. 1981.

1982

27

279

Monographs

"Impact of Futures Markets ™"

Paper : "The Impact of Futures Markets on the World Economy. Clayton Yuetter. 17p. (1982).

1982

27

280

Monographs

Enforcement Systems/ Duties of SRO's

• Memo : To Commissioners Hineman and West. From Susan Phillips. RE Two research papers submitted by Tom Loughran. 08/30/83.

Attached : State Relationships and Enforcement Systems. Duties of CFTC-regulated SRO's compared to SEC-regulated SRO's. 29p. 1983.

1983

27

281

Monographs

"™Analysis of Manipulation™"

Paper : "A Legal and Economic Analysis of Manipulation in Futures Markets." Linda Edwards and Franklin Edwards. 59p. 1984.

1984

27

282

Monographs

Risk Management ™

Paper : "Risk Management: An Overview for the Next Decade."Clayton Yuetter. 7p. 1984.

1984

27

283

Monographs

An Investigation of Soybean Futures Trading.

Paper : "An Investigation of Soybean Futures Trading." American Soybean Association. 30p. 1985.

1985

27

284

Monographs

Futures Market Regulation.

Paper : "The Political Economy of Futures Market Regulation." Peter Pashigian. 49p. (1985).

1985

27

285

Monographs

Expiration Day Effects of Index Options™

• Memo : From Paula Tosini, Division of Economic Analysis. RE Study by Hans Stoll of Stock Index Futures Expiration Day Experience.

Attached Paper : "Expiration Day Effects of Index Options and Futures: Summary and Conclusions of the Empirical Analysis and an Examination of Proposed Changes in Expiration Procedures." Hans Stoll. 17p. 03/15/86.

1986

28

287

Monographs

The Role of Index Related Trading™

• "Paper : The Role of Index Related Trading in the Market Decline on September 11 and 12, 1986." Securities and Exchange Commission (SEC). 65p. 03/86.

1986

28

288

Monographs

Securities and Commodities Fraud.

Paper : "Securities and Commodities Fraud." Michael Seitzinger. 22p. 04/17/86

1987

28

289

Monographs

Investment Fraud™

Paper : "Investment Fraud: Current Problems in Regulation and Enforcement. " John Barker. American Association of Retired Persons. 34p. 12/88.

1988

28

290

Monographs

Foreign Currency Futures at the CME/IMM.

Paper : "Foreign Currency Futures at the CME/IMM." 29p. (1988).

1988

28

291

Monographs

The Shape of Things to Come.

Paper : "The Shape of Things to Come." Leo Melamed. 11p. 1988

1988

28

292

Monographs

U.S. Agriculture in a Global Setting™

Paper : "U.S. Agriculture in a Global Setting- An Agenda for the Future." Ed. Tutweiler. 29p. 1988.

1988

28

293

Monographs

Transactional Risk, Market Crashes™

Paper : "Transactional Risk, Market Crashes, and the Role of Circuit Breakers." Greenwald and Stein. 29p. 1989.

1989

28

294

Monographs

Market Squables: SEC v. CFTC.

Paper : "Market Squables: SEC v. CFTC." Charles Seeger. 11p. 06/13/90.

1990

28

295

Monographs

The Inefficacy of Speculative Position Limits.

Paper : "The Inefficacy of Speculative Position Limits." Robert Easton. 8p. (1991).

1991

28

296

Monographs

Predictability of S&P 500 Index Basis Change.

Paper : "Predictability of S&P 500 Index Basis Changes: Arbitrage-Induced or Statistical Illusion?" Merton Miller, et al. 45p. 06/26/91.

1991

28

297

National Treatment Study

1990 edition

• Memo from The Division of Trading and Markets. RE Publication of the 1990 edition of the National Treatment Study.

Attached Paper : "National Treatment Study- Report to Congress on Foreign Government Treatment of U.S. Commercial Banking and Securities Organizations." Department of the Treasury. 28p. 1990.

1991

28

298

North American Securities Administrators Association, Inc. (NASAA).

Investor Alert: Commodity Investments

Paper : "Investor Alert: Commodity Investments." NASAA. 4p. 1984.

1984

28

299

NASAA

Conference Preregistration List

NASAA Conference Preregistration List." Sixth Annual Conference, Calgary, Alberta. 1985.

1984

28

300

NASAA

Commodity Pool Advisory Committee

Correspondence To Mark Holderman From Michael Sackheim RE NASAA Commodity Pool Advisory Committee. 04/03/89.

1989

28

301

NASAA

Commodity Pool Guidelines

Amendments proposed to the NASAA Statement of Policy on Registration of Commodity Pool Programs. Omnibus Guideline Committee. 02/27/90.

1990

28

302

National Futures Association (NFA)

Registration

• Memo From: Theodore W. Urban To: Commissioner West RE NFA. 11/12/82.

Attached to memo : "NFA Order Granting Registration and Approving Rules." 81p. 09/21/94.

Application Guide: NFA Membership and CFTC Registration. 28p. 1982.

1982

28

303

NFA

Briefing

Memos :

- From Commissioner West To Commissioners RE NFA's Development of Discretionary Account and General Sales Practices Rules. 01/23/85.

- From Commission of Trading and Markets et al. RE Report on National Futures Association. 01/14/85.

Correspondence :

- From Michael Unger, Office of the Secretary of State, Massachusetts To Commissioner William Seale RE Customer suitability standards for FCM's. 02/22/85.

- Four rough draft notes from Fowler West . 01/24/85.

- From: Robert Wilmouth To Andrea Corcoran RE NFA Monthly Status Report. 01/10/85.

- From Fowler West to Michael Unger, Office of the Secretary of State, Massachusetts RE William Seale letter. 03/06/85.

- From: Andrea Corcoran to Clayton Yuetter. 01/18/85

Report : "December 1984 National Futures Association Status Report." 10p. 1985.

1985

28

304

NFA

Meeting

NFA meeting with Jeph Harrison, outline of topics discussed. 04/10/85.

1985

28

305

NFA

Compliance Rule 2-30:

Compliance Rule 2-30: "Customer Information and Risk Disclosure." 1p. 1985.

1985

28

306

NFA

Regulatory Report

• Memo From Paula Tosini, Division of Economic Analysis RE Recommendation that the Commission approve the attached draft Federal Register release amending Parts 16, 17, 18, 19, and 21 of the Commission's reporting requirements. 01/08/86.

Correspondence To Fowler West From Robert Wilmouth RE NFA goals. 02/18/86.

1986

28

308

NFA

Disciplinary Action/ Fredrick Horn

Matter of Frederick Horn before the CFTC, in response to the request that the commission institute review of the NFA's Final Order Restricting Registration.

1987

28

309

NFA

Review of the Registration Fitness Program

• Memo From The Division of Trading and Markets RE Review of the Registration Fitness Program of the NFA. 07/19/89.

Attached : The review of the Registration Fitness Program of the NFA. 07/19/89.

1989

29

310

NFA

Clearinghouse Press Conference

Remarks : Robert Wilmouth's remarks for the Clearinghouse Press Conference. 09/19/91.

1991

29

311

NFA

Disciplinary Information Access Line "DIAL."

Phone : 1-800-676-4NFA: Disciplinary Information Access Line. Futures Investor's 1st One-Stop Background Check. 09/19/91.

1991

29

312

NFA

Supervision of Telemarketing Activities

Correspondence :

- From Wayne Klein, Department of Finance, Idaho To Jean Webb RE Proposed NFA rule regarding supervision of certain telemarketing activities. 11/19/92.

- From John Perkins, Commissioner of Securities, Missouri. to Jean Webb RE Proposed NFA rule regarding supervision of certain telemarketing activities. 11/19/92.

- From Richard Latham, Securities Commissioner, Texas to Jean Webb RE Proposed NFA rule regarding supervision of certain telemarketing activities. 11/19/92.

- From: Thomas Sayles, Commissioner of Corporations, Califorina To Jean Webb RE Proposed NFA rule regarding supervision of certain telemarketing activities. 11/17/92.

1992

29

313

New York Cotton Exchange (NYCE)

Five Year U.S. Treasury Notes Futures

Memos :

- From The Division of Economic Analysis RE The application of the NYCE for designation as a contract market to trade futures contracts on the five year U.S. Treasury notes. 04/13/87.

- From The Division of Trading and Markets RE The application of the NYCE for designation as a contract market to trade futures contracts on the five year U.S. Treasury notes. 04/14/87.

1987

29

314

NYCE

Citrus Associates/ Frozen Concentrated Juice Futures.

Memos :

- From Division of Trading and Markets RE Application of the Citrus Associates of the NYCE for designation as a contract market in Frozen Concentrated Orange Juice-2 ("FCOJ-2") Futures Contracts. 03/16/90

- From The Division of Economic Analysis RE Application of the Citrus Associates of the NYCE for designation as a contract market in Frozen Concentrated Orange Juice-2 ("FCOJ-2") Futures Contracts, a related proposed new by-law, and proposed amendments Increasing the speculative limits for the existing Frozen Concentrated Orange Juice-1 Futures contract. 03/19/90.

1990

29

315

NYCE

Cotlook World Cotton Futures and Options

Memos :

- From The Division of Economic Analysis RE Application of the NYCE for designation as a contract market in Cotlook World Futures and options. 09/04/92.

- From: The Division of Economic Analysis RE Application of the NYCE for designation as a contract market in Cotlook World Futures and options. 08/25/92.

1992

29

316

New York Futures Exchange (NYFE)

CRBF Price Index Futures

Memos :

- From Division of Trading and Markets RE Application of the NYFE for designation as a contract market in options on Commodity Research Bureau Futures Price Index futures contracts. 09/06/88.

- From: The Division of Economic Analysis RE Application of the NYFE for designation as a contract market in options on Commodity Research Bureau Futures Price Index futures contracts. 09/01/88.

1988

29

317

New York Mercantile Exchange (NYMEX)

Residual Fuel Oil Futures

Memos : -

- From Division of Trading and Markets RE Application of the NYMEX for designation as a contract market in Residual Fuel Oil Futures contracts. 08/22/89.

- From: The Division of Economic Analysis RE Application of the NYMEX for designation as a contract market in Residual Fuel Oil Futures contracts and approval of proposed exchange rules 140.1-140.22, and approval of proposed amendments to existing rules 9.26, 9.27, and 9.34. 08/14/89.

1989

29

318

NYMEX

Platinum Futures

Memos :

- From Division of Trading and Markets RE Application of the NYMEX for designation as a contract market in options on Platinum Futures. 01/11/90.

- From The Division of Economic Analysis RE Application of the NYMEX for designation as a contract market in options on Platinum Futures. 01/12/90.

1990

29

319

NYMEX

Sour Crude Oil Futures

Memos :

- From: Division of Trading and Markets RE Application of the NYMEX for designation as a contract market in Sour Crude Oil Futures cotracts. 12/05/91.

- From: The Division of Economic Analysis RE Application of the NYMEX for designation as a contract market in Sour Crude Oil Futures cotracts. 12/06/91.

1991

29

320

NYMEX

Unleaded Gasoline-Crude Oil Spread Option and Heating Oil-Crude Oil Spread Option Futures

Memos •

- From Division of Trading and Markets RE Application of the NYMEX for designation as a contract market in Unleaded Gasoline-Crude Oil Spread Option Contracts and in Heating Oil-Crude Oil Spread Option Contracts, and that the Committee approve proposed rules 340.01-340.08, and 350.01-350.08, and proposed amendments to rules 9.26 and 9.34. 12/06/91.

- From: The Division of Economic Analysis RE Application of the NYMEX for designation as a contract market in Unleaded Gasoline-Crude Oil Spread Option Contracts and in Heating Oil-Crude Oil Spread Option Contracts, 12/06/91.

1991

29

321

NYMEX

Regulatory Task Force Report and Recom-mendations

Report and Recommendations of the Regulatory Review Task Force. NYMEX publication.24p. 05/09/89.

1989

29

322

NYMEX

Statement of President Thompson

Statement of R. Patrick Thompson, President NYMEX, before the US House of Representatives subcommittee on Energy and Power. The subject is oil prices after the invasion of Kuwait. 01/09/91.

1991

29

323

New York Stock Exchange (NYSE)

Program Trading Impact on Financial Markets

NYSE News- Interaction Between Stocks and Stock Index Futures Seen Undermining Long-Term Public Confidence in Capital Markets. 5p. 12/30/87.

Paper : An Overview of Program Trading and Its Impact on Current Market Prices." Nicholas Katzenbach. 40p. 12/21/87.

1987

29

324

NYSE

Phelan, CEO NYSE- Testimony Before Senate

Testimony Submitted for the Record by John Phelan, Jr., CEO of the NYSE before the U.S. Senate Committee on Banking, Housing, and Urban Affairs. 19p. 02/05/88.

1988

29

325

Off-Exchange

Task Force Interpretive Letter

CFTC Advisory announcing the issuing of the CFTC‘s Off-Exchange Task Force Interpretive Letter No.88-12. 07/26/88.

1988

29

326

Off-Exchange

Task Force Interpretive Letter

CFTC Advisory announcing the issuing of the CFTC‘s Off-Exchange Task Force Interpretive Letter No.88-13. 08/30/88.

1988

29

327

Off-Exchange

Task Force Interpretive Letter

CFTC Advisory announcing the issuing of the CFTC‘s Off-Exchange Task Force Interpretive Letter No.88-14. 09/21/88.

1988

29

328

Off-Exchange

Task Force Interpretive Letter

CFTC Advisory announcing the issuing of the CFTC‘s Off-Exchange Task Force Interpretive Letter No.88-15. 09/28/88.

1988

29

329

Off-Exchange

Transactions

Articles :

- Framework for Current Issues Regarding Off-Exchange Instruments." Paula Tosini and Paul Architzel. 05/12/87.

- "Indexed Off-exchange Options." Robert Hiden and Donald Crenshaw. 03/87.

- "Can Indexed Debt Instruments Become Commodity Options?" Robert Davis. 1987.

News Release regarding CFTC internal task force charged with studying Off-exchange transactions. 06/09/87.

News Release regarding staff reports on Off-exchange transactions. 06/08/87.

1987

29

330

Office of the Postmaster General (OPM)

Guidelines for Competitive and Non-Competitive Appointments

Correspondence :

- From David Pryor, Chairman of the Federal Services, Post Office, and Civil Service Subcommittee To Paul Batemen, Deputy Assistant to the President for Management RE Violations of GAO appointment guidelines. 11/04/92.

- From Edward Gleiman, Staff Director To Charles Bowser, Comptroller General, GAO RE GAO investigations of above rule violations. 11/18/92.

1992

29

331

Options

Agriculture

• Memo : From Jesse Helms To Philip Johnson RE Agricultural options. 04/19/82.

Attached : "Agricultural Options Gain Support." Congressional Record. 03/22/82."Agricultural Options: Choice and Flexibility." Clayton Yuetter. 9p. 1982

1982

29

332

Option Contracts

Staff Report

Memos :

- From Susan Phillips To Fowler West RE Options materials .

- From Andrea Corcoran RE Commission charges for Option vs Futures contracts. 1982.

Attached : "Investments--Analysis and Management." 30p. "Financial Options and Futures in Portfolio Management." Susan Phillips. 4p. 1982. A Comparison of Options and Futures in the Management of Portfolio Risk." Moriarty, Phillips, and Tosini." 8p. 1981.

1981-1982

29

333

Options

 

• Memo • From: Susan PhillipsRe: Options, attached paper. 12/16/83.

Attached : "New Options Markets." Laurie S. Goodman. 11p. 1983. "A General Introductory Discussion on Options." Paula Tosini. 19p. 1983.

1983

29

334

Options

Pilot Program

Correspondence : From: Susan Phillips To Kika de la GarzaRE Pilot program in domestic exchange -traded commodity options. 08/04/83.

Attached : Justification of pilot program. 29p. 1983.

1983

29

335

Options

Seminar

Itinerary of Options Trading Seminar- included are some of Fowler West's personal notes on the seminar. 01/12/83.

Articles :

- Spreading Strategies- AMEX Call Options." 24p. 1983.

- "Opportunities in Options on U.S. Treasury Bond Futures." CBOT. 28p. 1983.

- Comparison of Options and Futures in the Management of Portfolio Risk." Moriarty, Phillips, and Tosini." 8p. 1981.

- Options on Comex Gold Futures." COMEX. 44p. (1983).

1983


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