Baylor University Poage Library

Box 30 - 32


Series : CFTC

Sub-series : Commission Subjects 

Boxes 30 - 32 : 59 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

30

336

Options

PBOT Eurodollar Options

• "Philadelphia Board of Trade"- question and answer outline. 05/08/85.

Correspondence : From Marc Berman, Secratary, The Intermarket Clearing Corporation To Andrea Corcoran RE Telephone conversation. 05/07/85.

Memos :

- From: Division of Trading and Markets & Division of Economic Analysis RE Application of the PBOT for designation as a contract market in options on Eurodollar Time Deposits. 05/08/85.

- From Jean Web, Secretary of the Commission RE Commission meeting 05/08/85. 05/10/85.

1985

30

337

Options

Agriculture Options Expansion

• Memo : From The Division of Economic Analysis RE Pilot program for the trading of options on domestic agricultural futures contracts. 03/10/86.

Articles :

- "CFTC Expands Program in Options On Farm Futures." WSJ. 04/03/86.

- "Panel Moves Towards Allowing Sale of Foreign Options in The US." 04/03/86.

- "CFTC Expands Program in Options on Farm Futures." 04/03/86.

- "CFTC Approves Expansion of Agricultural Options Pilot Program." 04/03/86.

1986

30

338

Options

Trading

Memos :

- From Division of Economic Analysis RE Termination of Pilot Options Programs.

- From: Molly Bayley, Executive Director RE Addition to Second Quarter Objectives. 12/30/86

1986

30

339

Options

Options Trading-Farmers

Articles :

- "Program Aimed at Options Trading For Farmers Falls Short." Joe Spear . 12/09/88. - "Futures/Options Pilot Farm Program Not on Autopilot." Wiesemeyer and Bernard. 06/88.

1989

30

340

Osaka Securities Exchange

Stock Futures 50

• Memo : From Marshall Hanbury, General Counsel RE Osaka Securities Exchange "Stock Index Futures 50" No-Action Request. 06/24/87.

• Correspondence regarding above attached.

1987

30

341

Osaka Securities Exchange

Nikkei Stock Average Futures

Correspondence : From William Heyman, SEC To Yoichiro Tomochika, Senior Executive Govenor, OSE RE Osaka Securities Exchange Nikkei Stock Index Futures Contract. 01/16/92.

1992

30

342

Office of Technology Assessment (OTA), CFTC

Securities and Futures Markets

• Memo : From Paula Tosini RE OTA study of Securities and Futures Markets. 11/02/88. Accompanied by attached materials.

1988

30

343

Paine Webber

Northern Offer of Settlement

Memos :

- From Division of Enforcement RE Paine Webber/ Northern. 11/24/92.

- From: Division of Enforcement RE Paine Webber Inc. and Lovell Braxton Northern and the Division's recommendation about that case. 11/17/94.

1992

30

344

Philadelphia Board of Trade (PBOT)

OTC Index Futures

Memo : From The Division of Economic Analysis RE Application of the PBOT for designation as a contract market to trade futures contracts on the National OTC Index. 09/04/85.

1985

30

345

Philadelphia Board of Trade (PBOT)

Australian Dollar Futures

Memos :

- From The Division of Economic Analysis RE Application of the PBOT for designation as a contract market to trade futures contracts on the Australian Dollar. 04/10/87.

- From: The Division of Trading and Markets RE Application of the PBOT for designation as a contract market to trade futures contracts on the Australian Dollar. 04/14/87.

1987

30

346

Pension Plans

Trading in the Futures Markets

Article : "Pension Plan Trading in the Futures Markets." 7p. 12/26/91.

1991

30

347

Phillips, Susan

CFTC Chairman 1984-1989. Miscellaneous Materials.

Correspondence , either to or from Susan Phillips ; William Webster ; Ed Jones ; Warren Rudman ; Fowler West ; Richard Luger ; E. Thomas Coleman.

Articles with Susan Phillips :

- The Agency Whose Job is the Pits." 08/84.

- "Why Futures Trading Will Stay Fast and Lose." 03/21/85.

- "Talking Business with Phillips of Commodity Commission." 02/18/88.

- "CFTC to Watchdog Metals Futures More Than Financial." 05/15/86.

- Out to Get All the Crooks." 04/07/86.

- "Once Meek Futures Agency Now Busy Stepping on Toes." 01/05/86.

- "CFTC on the Inside." 06/05/84.

1991

30

348

Presidential Task Force on Market Mechanisms

Market Crash

10/26/87

Correspondence : From Nicholas Brady To Robert Glauber, Executive Director Presidential Task Force on Market Mechanisms.

• Attached is the Presidential Task Force on Market Mechanisms Survey. 11/18/87.

1987

30

349

Price Limits

 

Memos : -From Paula Tosini RE Effects of Price Limits. 10/05/94.-From: Paula Tosini RE Price Limits Study. 06/09/88.

• Attached to memo 06/09/88. : "Daily Price Limits in Futures Markets." Gordon, et al. Division of Economic Analysis. 33p. 1988.

1988

30

350

Proceedings Bulletin

 

• Memo : -From Bayley, Klejna, and Hathaway (Executive Director, Div. of Enforcement, and Office of Communication and Education Services) RE CFTC Proceedings Bulletin. 06/02/86.

Correspondence : From Fowler West To Molly Bayley RE Proceedings Bulletin. 07/18/86.

Attached to memo 06/02/86 : "CFTC Proceedings Bulletin." 6p. 07/15/86.

CFTC Correspondence Control Record. 01/23/86.

1986

30

351

Program Trading

 

Articles :

- "Program Trading, Lack of Curbs Draw 3 Broker's Fire in Capitol Hill Testimony." 05/06/88.

- "Wall Street Eerily Quiet as Institutions Retreat." 05/06/88.

- "Don't Ban Program Trading." 05/16/88.

1988

30

352

Program Trading

 

• Memo : From Kate Hathaway, Director, OCES RE SEC study on Program Trading. 07/27/89.

Correspondence : From R. Steven Wunsch RE House Subcommittee hearings, with attached statement. (1989).

Attached to memo 07/27/89 :

- SEC Study on Program Trading. 49p. 06/30/89.

- "Program Trading" 3p. (1989).

- "Stock Index Futures, Functional Regulation and the CFTC." 6p. 11/03/87.

- "Program Trading and Portfolio Insurance." 6p. (1989).

- "Stock Index Futures." Kidder, Peabody Inc. 25p. 09/10/85.

- "Overview of Program Trading and its Impact on Current Market Practices." Katzenbach. 40p. 12/21/87.

1989

30

353

Permanent Subcommittee on Investi-gations (PSI)

Committee on Governmental Affairs, U.S. Senate

Report : "Commodity Investment Fraud." Report Number 97. 45p. 1982.

1982

30

354

Permanent Subcommittee on Investi-gations (PSI) of the Committee on Governmental Affairs, U.S. Senate

IGBE/ BRNA/ UPM Fraud Cases

Memos :

- From Kenneth Raisler RE Congressional request for information on United Precious Metals (UPS), International Gold Bullion Reserve (IGBR), Bullion Reserve of North America (BRNA), and other cash dealers in metals. 11/10/83.

- From Judith Rumisek, Congressional Liaison RE Attached copy of the transcript of press conference announcing an investigation by the PSI of Federal oversight of IGBE and Bullion Reserve of North America. 10/26/83.

Correspondence :

- From Warren Ruman to Susan Phillips RE PSI. 11/08/83.

- From: William Nortman, UPMI to Warren Rudman RE UPMI. 03/09/84.

- From: Warren Rudman to James Miller, Federal Trade Commission RE PSI. 12/15/83.

- From: Susan Phillips to Warren Rudman RE Reply to letter on PSI. (1983)

News Release of PSI "Senate Committee Launches Probe Into Gold Bullion Cases." 10/26/83.

News From Attorney General Robert Abrams (NY- State) "New York Attorney General Hails Senate Investigation." 10/26/83.

IGB Exchange Advertisement.

UPM Advertisement.

Commodity Advertisement Letter.

Testimony -Orestes Mihaly before the PSI. 03/19/84.

- Walter Head before the PSI. (1984).

- Earl Faircloth before the PSI. 03/19/84.

- David Vickers before the PSI. (1984).

1983-1984

30

355

Permanent Subcommittee on Investi-gations (PSI)

Precious Metal Fraud Investigations

Memos :

- From Dennis Klejna RE Appearance of Klejna before the Florida Governor's Council on organized crime with attached statement. 10/19/83.

- From: Dennis Klejna RE Attached memo from Stephen Hall dealing with the PSI. 11/19/84.

- From: Marshall Hanbury, Office of Govt. Affairs RE Attached letter of Sen. Rudman. 11/10/83.

- From: Carol Fox, PSI to Barbara Wierzynski, CFTC RE Meeting with Wierzynski and West and enclosed letter. 04/16/84.

Correspondence : From Warren Rudman to Susan Phillips RE PSI hearings. 02/29/84.

Articles :

- "State Uses New Law on Boiler Rooms against Miami Firm." 08/21/84.

- "Agency Seeks to Stem Growing Phone Silver-sale Scams" 12/24/85.

- "Strategic Metals Stoke the Boiler Room." 09/20/87.

- "US Agency Battles Precious Metal Fraud." 12/16/85.

- "Dial M For Marketing Fraud." 05/16/88.

News Release of the PSI :

- "Senate Panel to Hold Hearings on Investment Fraud." 11/04/83.

- Florida House of Reps. bill creating the "Florida Investor Protection Act." (1983)

Statements

- Amanda Pedersen, FTC. 03/21/84.

- Sen. Warren Rudman

- Robert Ogren, US Department of Justice. 11/15/84.

- Joseph Corless, FBI. 11/15/84.

- Gerald Lewis, Comptroller of Florida. 11/15/84.

- Richard Miklic, US Probation Officer.

- Phillip Gold, Prison Inmate.

 

31

356

Permanent Subcommittee on Investi-gations (PSI)

Off-Exchange Fraud

Memos :

- From Fowler West To Susan Phillips RE Coordination with other federal agencies and with states in the area of off-exchange fraudulent activities. 10/31/83.

- From: Susan Phillips to Fowler West, with attached memo. 03/07/84.

Paper over PSI : J.Rumisek. 08/11/83.

Testimony of Dennis Klejna before the PSI. (1983)

Statement of Thomas Loughran before the Select Committee on Aging . 10/23/80

1980-1984

31

357

Permanent Subcommittee on Investi-gations (PSI)

Offshore Banks and Companies

Correspondence :

- To Fowler West RE Foreign Participants, with attachments. 02/01/83.

- From: Philip Johnson RE Relations with the British Government. 01/24/83.

• Memo : -From Kenneth Raisler RE Senate PSI : The Uses and Abuses of offshore banks and companies and attached testimony of John Fedders, SEC. 05/25/83.

1980-1984

31

358

Permanent Subcommittee on Investigations (PSI) of the Committee on Governmental Affairs, U.S. Senate

State Enforcement Actions

Memos :

- From Kenneth Raisler RE Response to remarks of NY Attorney General concerning failure of International Gold Bullion Exchange, United Precious Metals and Bullion Reserve of North America. 10/31/83.

- From Kenneth Raisler to Fowler West RE Letter to NY Attorney General Abrams. 10/31/83.

- From Kenneth Raisler RE Summary of Comments on Proposed rule 1.70: Notification of State Exchange Actions under the Commodity Exchange Act. 09/11/83.

- From Fowler West RE Announcement by the PSI - Will Conduct Investigation into commodity fraud. 10/26/83.

1983

31

359

Permanent Subcommittee on Investigations (PSI)

NASAA/CFTC Cooperation

• Memo : To E.C. Anderson From Kenneth Raisler RE Meeting with West. 01/06/84.

Statement of E.C. Anderson, NASAA to the PSI. 04/19/84.

Joint Statement of NASAA and the CFTC to the PSI. (1984).

Statement of H. Wayne Howell, NASAA to the PSI. 11/15/84.

NASAA News Release "State Securities Officials Call For Review of Precious Metals Dealers." 10/26/83.

Hearings before the PSI- Commodity Investment Fraud II. 03/21/84 & 03/19/84.

1983-1984

31

360

Permanent Subcommittee on Investigations (PSI)

South Florida Boiler Room Operations

Statement of Jill Bryant. (1984)

Statement of Jeremiah Foley III. (1984).

Conversations recorded by the Government during the investigation into a precious metals boiler room operation. 8p. (1984)

• Statement of Dorene B. Wolf, Dept. of Corporations, State of California. 03/15/84.

Statement of Steven Sawyer. (1984).

Statement of Kent Neal, Assitant State Attorney Economic Crime Unit, before the PSI. 11/15/84.

1984

31

361

Permanent Subcommittee on Investigations (PSI)

Commodities Futures Trading Litigation Seminar

Draft of the District of Colombia Bar Association CLE Seminar: Litigating Commodity Fraud Cases. 20p. (1984).

1984

31

362

Permanent Subcommittee on Investigations (PSI)

Enforcement and Surveillance

• Memo • To Fowler West with attachment : "Use of Computers in Market Surveillance." 7 p. with handwritten notes.

• Article : "Civil Penalties- Comparason of amounts levied and recovered for FY 1978- FY 1982.

1984

31

363

Permanent Subcommittee on Investigations (PSI)

Hearing on Precious Metals Fraud

Staff Statement of the PSI, Hearings on Precious Metals Fraud. 40p 03/84.

1984

31

364

Permanent Subcommittee on Investigations (PSI)

User Fees

Correspondence : Morley, Weiland.

• Memo : From Kenneth Raisler RE User Fees. 02/08/85.

1985

31

365

Permanent Subcommittee on Investigations (PSI)

West's Personal Notes

Notes : Two caches of notes approx 6 p. each.

1985

31

366

Regulatory Advisory Coordination Committee (RACC)

Progress reports

Correspondence : To RACC Members From Robert Mackay RE Progress Report. 09/30/91.

Status Report of the Working Group on Clearance and Settlement, RACC. 01/22/92. Papers:

- CFTC Regulatory Coordination Advisory Committee, Managed Futures Subcommittee Issue Paper. 27p. 1991.

- "Examination of the Extent to Which US Banking Practices Affect the Development of US Futures Markets." 10/09/91.

- RCAC Status of Issues. 10/01/91.

- "Update of Managed Money and Futures Regulation on the Pacific Rim and in the US." Sheila Bair. 09/12/91.

News Release, adoption of 10 general principles by the CFTC. 11/15/91.

- CFTC RACC Meeting Agenda. 11/28/91.

- Next RACC meeting. 11/21/91.

- "International Coordination by the CFTC."

- "Reporting Levels in the Futures Markets." 09/30/91.

- "CTI Codes."

- "Allocation of Fills Among Accounts on Block Orders."

- "CFTC Exemptive Authority."

- "Customer Protection Perceptions Regarding Agriculture Futures and Option Products."

- CFTC Backgrounders

- "Foreign Instrument Approvals & Exemptions." 10/01/91.

- "CFTC's International Enforcement Program." 09/25/91.

1991

31

367

Regulatory Advisory Coordination Committee (RACC)

Report

Correspondence :

- From Wendy Gramm To Paul O'Kelly RE RACC. 01/06/92.

- From Alan Greenspan To Wendy Gramm RE RACC. 12/23/91.

- From Wendy Gramm To Alan Greenspan RE RACC, with attached RACC study. 12/16/91.

• "Report on the Commission's Large Trader Reporting System Prepared for the RACC." 48p. 01/91.

CFTC RACC Meeting agenda. 01/22/92.

1991-1992

31

368

Regulatory Review Task Force

Report and Recommendations

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

1989

31

369

Reparations

Proposed Rules

Memos :

- From Jerome Nelson, Options Section RE The CFTC's Appellate Reparations Docket. 06/11/85.

- From: Molly Bayley RE Attached report to the commission on the operation of the new reparations rules. 06/18/85.

Article : "Futures Industry Self- Regulatory Group Offers Arbitration Program." Laura Oatney. 06/85.

Reparations report. 18p. (1985).

1985

31

370

Reparations

Rules

Memos :

- From Kenneth Raisler RE Attached letter from William Brodsky, president of the CME. 06/24/85.

- From Kenneth Raisler RE Schor v. ContiCommodity Services, Inc., No. 84-1673. 06/04/85.

- From Molly Bayley •RE Attached report to the commission on the operation of the new reparations rules. 06/18/85.

- From Jerome Nelson, Options Section RE The CFTC's Appellate Reparations Docket. 06/11/85.

Reparations notes. (1985).

• Article : "Supreme Court Vacates Limitations on CFTC Counterclaim Jurisdiction." 07/05/85

1985

31

371

Reparations Program

Proposed Rules

Memos : -CFTC Proposed Rules -From: Kenneth Raisler RE Publication of the attached proposed Reparation Rules. 06/07/83

Reparations Projected Budget Paper. 2p. 06/21/89.

• "Limitations on the CFTC's Sanctioning Powers." Michael Sackheim. 10/90.

Court Proceedings : Schor v. ContiCommodity Services, Inc., No. 84-1673, CFTC Petitioner. 10/85.

• "CFTC Innovation Under Revised Reparations Rules- The Three Decisional Procedures." Koblenz and Rowland. 1984.

Federal Register, Part III, CFTC "Final Rules Relating to Reparations." 02/22/84.

1982-1990

31

372

Racketeer Influenced and Corrupt Organizations Act (RICO)

Revisions to Hanbury Statement

Statement of Marshall Hanbury, CFTC General Counsel before the Criminal Justice Subcommittee of the Judiciary Committee of the H.O.R. 11/12/87.

1987

31

373

Racketeer Influenced and Corrupt Organizations Act (RICO)

Notes

Notes : Fowler West notes on RICO.

Articles :

- "Racketeering Law Comes Under Attack." 13p. Kenneth Jost. 04/17/89.

- "Advocates of RICO Revision Gird for Third Try." 4p. Nadine Cohodas. 02/18/89.

1989

31

374

Rule 4.5

Exclusion from the definition of Commodity Pool Operator for certain persons

Notes on Rule 4.5 by Fowler West.

• Memo : From Division of Trading and Markets RE Adoption of attached draft of Rule 4.5. 04/09/85.

1985

31

375

Rule 4.7

Proposed relief from certain Part 4 requirements ™

• Memo : From Andrea Corcoran RE Attached draft of Proposed relief from certain Part 4 requirements for CPOs and CTAs of qualifying pools and clients. 12/17/91.

1991

32

376

Schroeder, Edmund

No Action Letter

• Memo : From Fowler West To Kenneth Raisler RE Proposed No-action letter of "export company x." 03/31/86.

Correspondence : From Kenneth Raisler To Edmund Schroeder, Esq. RE Requested No-action letter for "export company x." 02/86.

1986

32

377

Securities Acts

Amendments of 1990

• Memo : From Joanne Medero, General Counsel RE Attached Public Law No. 101-550, Securities Acts Amendments of 1990. 11/26/90.

1990

32

378

Securities Market Reform Act of 1988

 

Memos :

- From Gary Madson RE Congressman Markey's attached legislative package of today. 07/07/88.

- From Gary Madson RE Congressional Schedule, of the 100th Congress. 10/24/88.-From: Gary Madson RE Market Reform Hearing of July 14, with list of witnesses. 07/13/88.

- From Gary Madson RE Energy and Commerce Committee Actions, with attached hearing hearing notice. 07/07/88.

- From Gary Madson RE Attached transcript of hearing on drought assistance. 06/23/88.

• "Section by Section Analysis of the Securities Market Reform Act of 1988." 5p. Remarks of the Honorable Edward Markey, on the introduction of the Securities Market Reform Act of 1988. 07/07/88.

H.R. proposed Bill, introduced by Edward Markey, "The Securities Market Reform Act of 1988." 19p. 07/07/88.

1988

32

379

Securities and Exchange Commission (SEC)

Articles On

Articles :

- "Brokers-Bankers." John Shad, Chairman SEC. 11/14/82.

- "Shad Sees Strong Evidence of Need for Internationalization Rule." 12/20/82.

- "Brokerage Industry Criticizes SEC's Proposed Arbitration Rule." 08/23/83.

- "SEC Criticized on Arbitration." Irwin Arieff. 08/01/83.

- "SEC Backpedals." 08/09/83.

- "SEC Approves AMEX Computer, Energy Stock Index Options."

- "SEC Proposes Plan for Big Trader Reporting System." 08/14/91.

1991

32

380

SEC

Stock Market Volatility Report

Memos :

- From Paula Tosini, Div. of Economic Analysis RE Attached SEC staff report on stack market volatility. 01/15/87.

- From Kenneth Raisler RE Attached Government Securities Act of 1986. 11/25/86.

1987

32

381

SEC

Govt. Securities Activity of a Futures Commission Merchant.

• Memo : From Division of Trading and Markets RE Attached SEC draft of Final Rules Concerning the Government Securities Activity of a Futures Commission Merchant. 06/26/87.

1987

32

382

SEC

Correspondence to the President concerning the CFTC.

Correspondence :

- From David Ruder, Chairman SEC To President Bush RE Legislative proposals for regulations of margins. 07/06/88.

- From David Ruder, Chairman SEC To President Bush RE Legislative proposal prepared by the SEC in response to the October 1987 market crash. 07/07/88.

1988

32

383

SEC

Market Crash, October 1987

Recommendations : "Securities and Exchange Commission Recommendations Regarding the October 1987 Market Break, in the congressional testimony of David Ruder." 26p. 02/03/88.

1988

32

384

SEC

Chairman David Ruder's Comments in Japan

• Memo : From Marshall Hanbury RE Attached press release of the American Embassy in Tokyo containing the remarks of SEC commissioner David Ruder. 02/29/88.

1988

32

385

SEC

SEC Study of NYSE Trading

• Memo : From Paula Tosini, Div. of Economic Analysis RE Attached SEC study of NYSE Trading on 04/06/88 and 04/14/88. 07/14/88.

1988

32

386

SEC

SEC Policy

Memos :

- From Joanne Medero, General Counsel RE Attached SEC Policy Statement. 11/28/89.

- From Joanne Medero, General Counsel RE Attached Securities Law Enforcement Remedies Act of 1989, its impact on the CFTC. 03/27/89.

1989

32

387

SEC

Chairman Richard Breeden

Quotes of Richard Breeden, from 09/15/89 to 10/11/90 dealing with Margins and Jurisdiction.

Correspondence : From Richard Breeden To Patrick Leahy RE Responses to questions of Leahy. 07/10/90.

Article : "Breeden's War With CFTC Moves to Overseas Arena." 06/25/90.

Transcript of Proceedings of a hearing of the Committee on Banking, Housing, and Urban Affairs on the "Securities Law Enforcement Remedies Act of 1989." 02/01/90.

Statement of Richard Breeden before the Committee on Banking, Housing, and Urban Affairs concerning Drexel Burnham Lambert Inc. (1990).

1990

32

388

SEC

Order on Delta Government Option Corp.

Memo : From Joanne Medero, General Counsel RE Recent SEC order on Delta Goverment Option Corp. 03/16/90.

1990

32

389

SEC

Report on Stock Activities

Memo : From Divisions of Trading and Markets and Economic Analysis RE Attached SEC Report Market Analysis of October 13 and 16, 1989. 01/31/91.

Correspondence : From Wendy Gramm To Glenn English RE CFTC Analysis of SEC's Market Analysis of October 13 and 16, 1989. 06/27/90.

1990-1991

32

390

SEC

SEC Report on Regulatory Coordination

Correspondence : From Richard Breeden To Wendy Gramm RE Attached SEC Report on Regulatory Coordination. 05/30/91.

1991

32

391

Self- Regulation

 

Article : "Complaints Raise Issue of Exchange Policing." Cohen and Crawford. 02/28/90.

(1990)

32

392

Self- Regulation

History Of Self- Regulation

Article : "Commodities Exchanges as Self-Regulating Organizations in the Late 19th Century." Jonathan Lurie. 15p. (1980).

(1980)

32

393

Senate Bill 207

 

Correspondence : From Wirth and Bond To Wendy Gramm RE Attached Senate Bill 207, a Bill to improve intermarket coordination.

1991

32

394

Short Selling

 

Articles :

- "Selling a Stock Short is a Lot Riskier Than Buying,™"

- "Aggressive Methods of Some Short Sellers Stir Critics to Cry Foul." Dean Rotbart. 09/05/85.

1985

32

395

Silver

Rosenthal Subcommittee on Silver

Report : "Silver Report of the Rosenthal Subcommittee." Commerce, Consumer and Monetary Affairs Subcommittee, Committee on Govt. Operations. 194p. 11/81.

1981


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