Baylor University Poage Library

Box 33 - 34


Fowler C. West Papers

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: FromDennis Dutterer, General CounselRE AttachedSEC 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 StemmingFrom Alleged Scam.08/24/88.

1988

33

398

Silver

Silver Trading

Article :MiningLeaders Urge Congress to InvestigateU.S. Silver Trading.Grayden Jones.10/07/89.

1989

33

399

Salomon Brothers

SEC Report

Memo:FromPaula Tosini, Div. of Economic AnalysisRE AttachedSECreport concerning the activities of SalomonBrothers during the December expiration of Stock-Index Futures.01/21/87.

1987

33

400

Salomon Brothers

Treasury Bond Activities

Memo: FromCynthia Neuwalder, PublicAffairs Specialist, OCESToHerb Jackson, Director OCESRE Senate Subcommittee on Securities hearing on the activities ofSalomon Brothers in Treasury Bond activities.09/11/91.

Testimony of Richard Breeeden, SEC Chairman, before the Subcommitteeon Telecommunicationsand Finance, USHOR, concerning the Government securitiesmarket.09/04/91.

Testimony of Salomon Brothers submitted in conjunction with thetestimony of Warren Buffet, CEO, before theSubcommittee on Telecommunicationsand Finance, USHOR.09/03/91.

Salomon Brothers report delivered by CEO Warren Buffet beforethe Subcommittee on Telecommunicationsand Finance, USHOR.09/11/91.

Report submitted in conjunction with the testimony of DeryckMaughan and Robert Denham of Salomon Brothers before the Ways and Meanscommittee.

1991

33

401

Soybean Futures

Trading Study

CFTC Advisory announcing the release of a studyof Soybean Futures trading on the CBOT.11/27/84. AttachedSummary of CFTC s Review of Trading in Soybean Futures on the CBOT AugustThrough December 1983.19p.11/27/84.

1984

33

402

Speculative Position Limits

Memos:

-FromThe Division of Economic AnalysisRE ExistingExchange-Specified Speculative Position Limit rules which were in effectprior to the promulgation of Commission Rule 1.61.02/09/87.

-From:Division of Economic AnalysisREFederal SpeculativePosition Limits.02/17/87.

1987

33

403

Speculative Position Limits

Exemptions

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

1988

33

404

Speculative Position Limits

No-Action Position

CFTC AdvisoryCFTC s No-Action Position With Respectto 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 January23, 1987.Division of Economic Analysis, CFTC.07/87.

1987

33

406

Stock Index Futures

Activity on 04/14/88

Memo:FromDivision of Economic AnalysisRE Stock Index Futures Activity on 04/14/88.06/01/88.

AttachedReview of Stock Index Futures and Related Market Activityon April 14, 1988.Division of Economic Analysis, CFTC.06/88.

1988

33

407

Stock Index Futures

Issues

Memo:FromPaula Tosini, Division of EconomicAnalysisRE Stock Index Futures Issues, with attached SEC letterrequesting CME Audit Trail Data, andthe minutes ofthe IntermarketSurveillance Group meetings on 04/21 and 04/22.05/10/88.

1988

33

408

Stock Market

Crash of 1987

Memo:FromPaula Tosini, Division of EconomicAnalysisRE Attached Paper on Stock Market Events During October1987.12/14/87.

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

Personal FW Outlines :Activities Since October 192p.and ActivitiesRelatingto 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:FromAndrea Corcoran, Div. of Tradingand Markets, et al.

Recommendation:That the Commission approve the attached releasesetting forth a policy statement on certain Swap Transactions andtrasmitthe 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, CFTCRule 17 CFR Part 35.Exemptionsfor Certain Swap Agreements.11/12/92.

1992

33

412

Sunshine Act

Court interpretation

Memo:FromKenneth Raisler RERecentcourt decision interpreting Government in the Sunshine Act, with attachedcase precedentClark-Cowlitz v.Federal Energy Regulatory Commission.09/02/86.

1986

33

413

Tin Industry

Report

Memo:FromSusan Phillips, ChairmanREAttachedTin Industry Report.11/12/85.

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

1985

33

414

Tokyo Stock Exchange(TSE)

Topix Futures

Correspondence:FromJoanne Medero, GeneralCounsel ToRichard Streicher, EsquireRENo-Actionposition 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:FromThe Division of Trading andMarketsRE Final Amendments to Regulation 1.35- Trading Cards and Submissionof Trading Cards, with attached release for publication in the FederalRegister.02/23/90.

Notebook page of Fowler West personal notes .

1990

33

416

Trading Systems

Screen Based

Correspondence:FromAndrea CorcoranToScott Early, General Counsel, CBOTRE Supervisory issues inScreen 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 AdministrationTax Proposal.02/04/91.

-CMECME Officials Blast Administration Proposal to Tax FuturesTransactions.02/04/91.

1991

33

419

Transnor Ltd. v. BP North America Petroleum et al

Court opinion

Memo:FromJoanne Medero, General CounselRE Transnor (Bermuda)Ltd. v. BP North America Petroleum etal, Opinion and OrderDenying Summary Judgement.04/26/90.

1990

33

420

Treasury Report

Intermarket Coordination

Correspondence:FromRobert Glauber, ActingSecretary of TreasuryToWendy GrammRE Attached TreasuryReport on Intermarket Coordination.06/07/91.

Attached:1991 Treasury Department Report on IntermarketCoordination.19p.

1991

33

421

Volume Investors Corporation

Information

Memo:FromDavid Ebersole, Director, Officeof Congressional and Governmental AffairsREAttached InformationRelatingto Volume Investors Corporation.04/18/85.

1985

34

422

Volume Investors Corporation

Default

Correspondence:From Bennet Corn, President,CSCEToAndrea CorcoranRE Failure of Volume InvestorsCorporation.04/09/85.

Articles :

-Volume InvestorsReceiver Will Get Loan From COMEX.12/10/85.

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

Report of the Division of Trading and MarketsVolume InvestorsCorporation.78p.07/85.

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

1985

34

423

West, Fowler

Articles by West

Hand Written Draft of Review of the BookSecuritiesArbitration.

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 proposedby West.10/06/89.

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

-Commodities: Why They re a Worse Gamble ThanEver.09/07/92.

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

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

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

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

-CFTC News Release.08/04/92.

-CFTC CommissionerWest 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.

-CFTCCommissioner Concerned About Impact of Agency s Shrinking Budget.02/26/85.

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

-CFTC85 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 ShedsPuppy DogImage as it Takes Tougher RegulatoryStance.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 NAFTAToWestRE Enclosed Article.11/24/87.

-FromE. Thomas ColemanToWestRE Letterto Bob Wilmouth.11/22/83.

-FromKika de la GarzaToWestRE Letter toBob Wilmouth.11/18/83.

-FromBob WilmouthToWestRE West Article.11/30/83.

1983-1987

34

426

West, Fowler

Memos/Chairman Phillips

Memo:FromChairman PhillipsRE NewYorkMeeting With NASAA and attached memo report of West.12/12/83.

1983

34

427

West, Fowler

Memos/CFTC-SEC Cooperation

Memo:FromFowler WestToOff-ExchangeTask ForceRERecommendations of the Advisory Committee on CFTC/StateCooperation regarding bank-financed precious metals programs with attachments.01/27/88.

1983

34

428

West, Fowler

Memos/Re. Insider Trading In theFutures Markets

MemoFromFowler WestToThe CommissionREInsider Trading in the Futures Markets, Fowler West s Position.08/01/89.

1989

34

429

West, Fowler

Memos/Re.Anticipated Budget Needs

MemoFromFowler WestToChairmanGramm RE West s Analysis of Budget needs.08/04/89.

1989

34

430

West, Fowler

News Release

News Release from the Office of Commissioner WestWest 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 Businessfor 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 ArbitrationPanel 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 IndustryConference.03/04/83.

1983

34

436

West, Fowler

Speeches-04/11

West Speech before the Committee on FuturesRegulation.04/11/83.

1983

34

437

West, Fowler

Speeches-05/17

West Speech before the National Grain TradeCouncil.05/17/83.

1983

34

438

West, Fowler

Speeches-06/23

West Speech before the Agricultural OptionsAdvisory Committee Organizational Meeting06/23/83.

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 1983Economics 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 Marketsand 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 WashingtonDC. 11/09/83.

1983

34

444

West, Fowler

Speeches-11/22

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

1983

34

445

West, Fowler

Speeches-12/16

West Speech before the Chicago Bar Association CommodityLaw Committee and the Futures Industry Association Law and ComplianceDivision. 12/16/83.

1983

34

446

West, Fowler

Speeches-02/01

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

1984

34

447

West, Fowler

Speeches-02/08

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

1984

34

448

West, Fowler

Speeches-02/16

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

1984

34

449

West, Fowler

Speeches-02/16

West Speech before the Futures Industry AssociationLaw 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 theFederal Bar Association.04/24/84.

1984

34

453

West, Fowler

Speeches-05/29

West SpeechThe New Program to Fight Consumer Fraudin the Commodities Industry.05/29/84.

1984


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