Baylor University Poage Library

Box 33 - 34


Series : CFTC

Sub-series : Commission Subjects 

Boxes 33 - 34 : 57 folders

Box

File

Folder Title

Folder Sub-title

Notes and Publications

Year

33

396

Silver

Silver Crisis of 1980

• Memo : From Dennis Dutterer, General Counsel RE Attached SEC Staff report on the Silver Crisis of 1980. 10/28/82.

Report : "Silver Crises of 1980." SEC. 300p. 10/82.

1982

33

397

Silver

Hunt Brothers, Silver Crisis of 1980

Article : "Hunt Brothers Face More Charges Stemming From Alleged Scam." 08/24/88.

1988

33

398

Silver

Silver Trading

Article : "Mining Leaders Urge Congress to Investigate U.S. Silver Trading." Grayden Jones. 10/07/89.

1989

33

399

Salomon Brothers

SEC Report

• Memo : From Paula Tosini, Div. of Economic Analysis RE Attached SEC report concerning the activities of Salomon Brothers during the December expiration of Stock-Index Futures. 01/21/87.

1987

33

400

Salomon Brothers

Treasury Bond Activities

Memo : From Cynthia Neuwalder, Public Affairs Specialist, OCES To Herb Jackson, Director OCES RE Senate Subcommittee on Securities hearing on the activities of Salomon Brothers in Treasury Bond activities. 09/11/91.

Testimony of Richard Breeeden, SEC Chairman, before the Subcommittee on Telecommunications and Finance, USHOR, concerning the Government securities market. 09/04/91.

Testimony of Salomon Brothers submitted in conjunction with the testimony of Warren Buffet, CEO, before the Subcommittee on Telecommunications and Finance, USHOR. 09/03/91.

Salomon Brothers report delivered by CEO Warren Buffet before the Subcommittee on Telecommunications and Finance, USHOR. 09/11/91.

Report submitted in conjunction with the testimony of Deryck Maughan and Robert Denham of Salomon Brothers before the Ways and Means committee.

1991

33

401

Soybean Futures

Trading Study

CFTC Advisory announcing the release of a study of Soybean Futures trading on the CBOT. 11/27/84. Attached "Summary of CFTC's Review of Trading in Soybean Futures on the CBOT August Through December 1983. 19p. 11/27/84.

1984

33

402

Speculative Position Limits

 

Memos :

- From The Division of Economic Analysis RE Existing Exchange-Specified Speculative Position Limit rules which were in effect prior to the promulgation of Commission Rule 1.61. 02/09/87.

- From: Division of Economic Analysis RE Federal Speculative Position Limits. 02/17/87.

1987

33

403

Speculative Position Limits

Exemptions

Federal Register, CFTC Rule: 17 CFR Part 150 Exemptions from Speculative Position Limits for Positions Which Have a Common Owner but Which are Independently Controlled and for Certain Spread Positions. 10/24/88.

1988

33

404

Speculative Position Limits

No-Action Position

CFTC Advisory "CFTC's No-Action Position With Respect to SPEC Limit Rules." 09/11/92.

1992

33

405

Stock Index Futures

Review of Trading on 01/23/87.

• "Review of Stock Index Futures Trading on January 23, 1987." Division of Economic Analysis, CFTC. 07/87.

1987

33

406

Stock Index Futures

Activity on 04/14/88

• Memo : From Division of Economic Analysis RE Stock Index Futures Activity on 04/14/88. 06/01/88.

Attached "Review of Stock Index Futures and Related Market Activity on April 14, 1988." Division of Economic Analysis, CFTC. 06/88.

1988

33

407

Stock Index Futures

Issues

• Memo : From Paula Tosini, Division of Economic Analysis RE Stock Index Futures Issues, with attached SEC letter requesting CME Audit Trail Data, and the minutes of the Intermarket Surveillance Group meetings on 04/21 and 04/22. 05/10/88.

1988

33

408

Stock Market

Crash of 1987

• Memo : From Paula Tosini, Division of Economic Analysis RE Attached Paper on Stock Market Events During October 1987. 12/14/87.

• "Stock Index Futures and Stock Market Activity October 1987." Paula Tosini. 28p. 12/87.

Personal FW Outlines : "Activities Since October 19" 2p. and "Activities Relating to Market Crash." 3p.

1987

33

409

Stock Market

Volatility

Articles :

- "Ups and Downs of Wall Street." Pat Widder. 05/23/88.

- "How Risk Rattled the Street." William Glaberson. 11/01/87.

1987-1988

33

410

Swaps

Rules Regarding

• Memo : From Andrea Corcoran, Div. of Trading and Markets, et al.

• Recommendation: That the Commission approve the attached release setting forth a policy statement on certain Swap Transactions and trasmit the release for publication in the Federal Register. 07/12/89.

Statement of Fowler West on Swaps. 07/17/89.

1989

33

411

Swaps

Exemptions

Federal Register, CFTC Rule 17 CFR Part 35. Exemptions for Certain Swap Agreements. 11/12/92.

1992

33

412

Sunshine Act

Court interpretation

• Memo : From Kenneth Raisler RE Recent court decision interpreting Government in the Sunshine Act, with attached case precedent Clark-Cowlitz v. Federal Energy Regulatory Commission. 09/02/86.

1986

33

413

Tin Industry

Report

• Memo : From Susan Phillips, Chairman RE Attached Tin Industry Report. 11/12/85.

Article : "Annual Review of the World Tin Industry." Shearson Lehman Brothers. 13p. 09/85.

1985

33

414

Tokyo Stock Exchange (TSE)

Topix Futures

Correspondence : From Joanne Medero, General Counsel To Richard Streicher, Esquire RE No-Action position allowing TSE TOPIX Futures to be sold in the United States. 02/16/92.

1992

33

415

Trading Cards and Submission of Trading Records

Regulation 1.35

• Memo : From The Division of Trading and Markets RE Final Amendments to Regulation 1.35- Trading Cards and Submission of Trading Cards, with attached release for publication in the Federal Register. 02/23/90.

Notebook page of Fowler West personal notes .

1990

33

416

Trading Systems

Screen Based

Correspondence : From Andrea Corcoran To Scott Early, General Counsel, CBOT RE Supervisory issues in Screen Based Trading Systems. 02/20/90.

1990

33

417

Transactions Fee

Proposal

Article : "Rep. Michel Concerned About CFTC Fee." 01/29/90.

1990

33

418

Transactions Tax

Futures Contracts

News From the CBOT : "CBOT Blasts Administration Tax Proposal." 02/04/91.

- CME "CME Officials Blast Administration Proposal to Tax Futures Transactions." 02/04/91.

1991

33

419

Transnor Ltd. v. BP North America Petroleum et al

Court opinion

• Memo : From Joanne Medero, General Counsel RE Transnor (Bermuda) Ltd. v. BP North America Petroleum et al, Opinion and Order Denying Summary Judgement. 04/26/90.

1990

33

420

Treasury Report

Intermarket Coordination

Correspondence : From Robert Glauber, Acting Secretary of Treasury To Wendy Gramm RE Attached Treasury Report on Intermarket Coordination. 06/07/91.

Attached : "1991 Treasury Department Report on Intermarket Coordination." 19p.

1991

33

421

Volume Investors Corporation

Information

• Memo : From David Ebersole, Director, Office of Congressional and Governmental Affairs RE Attached Information Relating to Volume Investors Corporation. 04/18/85.

1985

34

422

Volume Investors Corporation

Default

Correspondence : From Bennet Corn, President, CSCE To Andrea Corcoran RE Failure of Volume Investors Corporation. 04/09/85.

Articles :

- "Volume Investors' Receiver Will Get Loan From COMEX." 12/10/85.

- "CFTC Seeks Insurance on Broker Default." 07/31/85.

Report of the Division of Trading and Markets "Volume Investors Corporation." 78p. 07/85.

CFTC Advisory : "Commodity Account Protection: A Study by the Division of Trading and Markets." 07/29/85.

1985

34

423

West, Fowler

Articles by West

Hand Written Draft of Review of the Book "Securities Arbitration."

Articles :

- "Questions for Commissioner West." 01/91.

- "Let's Use Arbitration in Jurisdictional Disputes." 05/91.

- "The Commodity Con Games- Don't Be Taken."

- "Hedging Farm Price Supports."

- "CFTC Faces World Markets." 07/86.

- "Do's and Don'ts About Dealing In Commodities." 12/83.

- "Combatting Commodity Fraud- It's in the Interest of the Futures Industry." 05/84.

- "CFTC Faces the World." 07/86.

- "How To Help Farmers Help Themselves." 07-08/86.

- "How To Avoid Commodity Rip-Offs."

- "Ten Tips For Avoiding a Commodities Scam." 07/84.

- "Impact on Reauthorization." 01-02/90.

- "No Quick Fixes For the Futures Market."

- "Proposed Reforms of Leverage Trading May Well Backfire." 07/16/86.

- "Consumer Protection: Unfinished Business for Regulators and Regulatees."

- "Securities Arbitration- Reviewed By West." 05/89.

1983-1991

34

424

West, Fowler

Articles With West

Articles :

- "Financial Futures Trading- A Bright Future or a Bubble Waiting to Burst?" 12/3/83.

- "Lone Wolf at CFTC Bares Teeth." 03/27/91.

- "CFTC's West Takes Activist Approach To Reform." 01/12/90.

- "As Congress Returns, Will CFTC Feel the Squeeze on Soybean Flap?" 08/22/89.

- CFTC News Release- Amendment to the Commodity Exchange Act proposed by West." 10/06/89.

- "Industry Urged: Support CFTC Reauthorization." 01/26/90.

- "Commodities: Why They're a Worse Gamble Than Ever." 09/07/92.

- "Getting Tough With the Futures Exchanges." 02/26/85.

- "Talking Futures With West." 01/13/85.

- CFTC Ag Report "CFTC Commissioner West Visits Texas Agriculture Groups." 02/83.

- "Swap Market Faces Possible Deregulation." 06/11/90.

- CFTC News Release. 08/04/92.

- "CFTC Commissioner West Says Agricultural Options Program on Schedule. " 02/22/84.

- CFTC News Release. 02/04/86.

- "Investing: Everything You Want to Know." 08/31/83.

- "Commodities Need Plenty of Homework." 02/08/84.

- "Consumers Warned of Commodity Fraud Through Advertising." 04/26/88.

- "CFTC Commissioner Concerned About Impact of Agency's Shrinking Budget." 02/26/85.

- "Proposed CFTC Transaction Fee Raises Questions." 01/29/90.

- "CFTC ‘85 Budget Woes Curb Agency Impact, Lower Staff Morale." 06/24/85.

- "Exchanges Split on Expanding Ag Options Pilot." 07/05/85.

- "New Self-Regulation Buoys CFTC Official." 12/21/83.

- CFTC News Release . 10/19/84.

- "Members, Hill Staffers Who Quit." 08/01/85.

- "Futures Agency Sheds ‘Puppy Dog' Image as it Takes Tougher Regulatory Stance." 04/85.

- "CFTC Seeks Bigger 1991 Budget to Boost Performance." 01/25/90.

1983-1992

34

425

West, Fowler

Correspondence to West

Correspondence :

- From: Donald Braverman, President NAFTA To West RE Enclosed Article. 11/24/87.

- From E. Thomas Coleman To West RE Letter to Bob Wilmouth. 11/22/83.

- From Kika de la Garza To West RE Letter to Bob Wilmouth. 11/18/83.

- From Bob Wilmouth To West RE West Article. 11/30/83.

1983-1987

34

426

West, Fowler

Memos/Chairman Phillips

• Memo : From Chairman Phillips RE New York Meeting With NASAA and attached memo report of West. 12/12/83.

1983

34

427

West, Fowler

Memos/CFTC-SEC Cooperation

• Memo : From Fowler West To Off-Exchange Task Force RE Recommendations of the Advisory Committee on CFTC/State Cooperation regarding bank-financed precious metals programs with attachments. 01/27/88.

1983

34

428

West, Fowler

Memos/Re. Insider Trading In the Futures Markets

• Memo From Fowler West To The Commission RE Insider Trading in the Futures Markets, Fowler West's Position. 08/01/89.

1989

34

429

West, Fowler

Memos/Re. Anticipated Budget Needs

• Memo From Fowler West To Chairman Gramm RE West's Analysis of Budget needs. 08/04/89.

1989

34

430

West, Fowler

News Release

News Release from the Office of Commissioner West "West Proposes Interagency Jurisdictional Arbitration Panel." 03/19/90. Also see folder 434.

1990

34

431

West, Fowler

Notes

Personal Notes primarily on fraud. 3p.

(1985)

34

432

West, Fowler

Papers

Paper : "Customer Protection: Unfinished Business for Regulators and Regulatees." 10p. 1986.

1986

34

433

West, Fowler

Papers

Paper : "Commodity Fraud and the Elderly." 26p. 1987.

1987

34

434

West, Fowler

Proposal

• "Proposal by West for an Interjurisdictional Arbitration Panel to Resolve Areas of Dispute Between the CFTC and the SEC." 04/19/90.

1990

34

435

West, Fowler

Speeches-03/04

West Speech before the National Futures Industry Conference. 03/04/83.

1983

34

436

West, Fowler

Speeches-04/11

West Speech before the Committee on Futures Regulation. 04/11/83.

1983

34

437

West, Fowler

Speeches-05/17

West Speech before the National Grain Trade Council. 05/17/83.

1983

34

438

West, Fowler

Speeches-06/23

West Speech before the Agricultural Options Advisory Committee Organizational Meeting 06/23/83.

1983

34

439

West, Fowler

Speeches-08/30

West Speech before the Valdosta (Georgia) Lion's Club. 08/30/83.

1983

34

440

West, Fowler

Speeches-09/22

West Speech before the Brookings Institution 1983 Economics for Journalists Program. 09/22/83.

1983

34

441

West, Fowler

Speeches-09/29

West Speech before the Kent Law School Conference. 09/29/83.

1983

34

442

West, Fowler

Speeches-10/06

West Speech for CFTC Program: The Futures Markets and National Policy An Agenda for the 1980's . 10/06/83.

1983

34

443

West, Fowler

Speeches-11/09

West Speech before the Commodity Club of Washington DC. 11/09/83.

1983

34

444

West, Fowler

Speeches-11/22

West Speech before the Operations Division of Futures Industry Association, Inc. 11/22/83.

1983

34

445

West, Fowler

Speeches-12/16

West Speech before the Chicago Bar Association Commodity Law Committee and the Futures Industry Association Law and Compliance Division. 12/16/83.

1983

34

446

West, Fowler

Speeches-02/01

West Speech before the CFTC Regional Seminar on Cooperative and State Enforcement Actions. 02/01/84.

1984

34

447

West, Fowler

Speeches-02/08

West Speech before the American Society of Public Administrators. 02/08/84.

1984

34

448

West, Fowler

Speeches-02/16

West Speech before the Futures Industry Association Law and Compliance Division. 02/16/84.

1984

34

449

West, Fowler

Speeches-02/16

West Speech before the Futures Industry Association Law and Compliance Division. 02/16/84.

1984

34

450

West, Fowler

Speeches-02/21

West Speech before the MidAmerica Commodity Exchange (MACE) Opening. 02/21/84.

1984

34

451

West, Fowler

Speeches-03/05

West Speech before the Futures Industry Association. 03/05/84.

1984

34

452

West, Fowler

Speeches-04/24

West Speech before the Futures Committee of the Federal Bar Association. 04/24/84.

1984

34

453

West, Fowler

Speeches-05/29

West Speech "The New Program to Fight Consumer Fraud in the Commodities Industry." 05/29/84.

1984


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