Baylor University Poage Library

Box 45 - 50


Fowler West Papers

Series : Publications

Sub Series : Publications

Boxes 45-50 : 73 folders

Box

File

Folder Title

Folder Sub-title

Publications

Year

45

74

CFTC

Arbitration of Commodity -Related Customer Disputes ™

• "Arbitration of Commodity -Related Customer Disputes in Selected Forums Outside the Commodity Futures Industry." Commodity Futures Trading Commission.

1991

45

75

CFTC

1993 Budget Estimate

• "1993 Budget Estimate." Commodity Futures Trading Commission.

1991

45

76

CFTC

"Briefing Materials- Eleventh Meeting of the CFTC Financial Products Advisory Committee"

• "Briefing Materials- Eleventh Meeting of the CFTC Financial Products Advisory Committee." Commodity Futures Trading Commission.

1991

45

77

CFTC

"1993 Budget Explanatory Notes"

• "1993 Budget Explanatory Notes." Commodity Futures Trading Commission.

1992

45

78

CFTC

"Annual Report to Congress- Market Reform Act of 1990"

• "Annual Report to Congress- Market Reform Act of 1990." Commodity Futures Trading Commission.

1992

45

79

CFTC

"1994 Budget Estimate"

• "1994 Budget Estimate." Commodity Futures Trading Commission.

1992

45

80

Federal Government

"President's Private Sector Survey On Cost Control: Report on Boards/Commissions-Business, Volume II"

• "President's Private Sector Survey On Cost Control: Report on Boards/Commissions-Business." Volume II. Washington, D.C. Federal Government.

1983

45

81

Federal Government

"Blueprint For Reform: The Report of the Task Group on Regulation of Financial Services"

• "Blueprint For Reform: The Report of the Task Group on Regulation of Financial Services." Washington, D.C. Federal Government.

1984

46

82

Federal Government

"Report of the Presidential Task Force on Market Mechanisms"

• "Report of the Presidential Task Force on Market Mechanisms." Washington, D.C. Federal Government.

1988

46

83

Federal Government

"Interim Report of the Working Group on Financial Markets"

• "Interim Report of the Working Group on Financial Markets." Washington, D.C. Federal Government.

1988

46

84

Federal Government

"Directory and Resource Guide: Securities and Commodities Fraud Working Group"

• United States Department of Justice. "Directory and Resource Guide: Securities and Commodities Fraud Working Group." Federal Government.

1991

46

86

Federal Reserve Board

"Report of the Presidential Task Force on Market Mechanisms"

• "Report of the Presidential Task Force on Market Mechanisms." US Government Printing Office. Federal Reserve Board.

1988

46

87

General Accounting Agency (GAO)

"Commodity Futures Regulation--Current Status and Unresolved Issues- Report to the Congress of the United States"

• "Commodity Futures Regulation--Current Status and Unresolved Issues- Report to the Congress of the United States." GAO/CED-82-100. General Accounting Office.

1982

46

88

GAO

"Summary: Commodity Futures Regulation--Current Status and Unresolved Issues- Report to the Congress of the United States"

• "Summary: Commodity Futures Regulation--Current Status and Unresolved Issues- Report to the Congress of the United States." GAO/CED-82-100. General Accounting Office.

1982

46

89

GAO

"US Treasury Securities: The Market's Structure, Risks, and Regulation"

• "US Treasury Securities: The Market's Structure, Risks, and Regulation." GAO/GGD-86-80BR. General Accounting Office.

1986

46

90

GAO

"Commodity Futures Trading: Purpose, Use, Impact, and Regulation of Cattle Futures Markets"

• "Commodity Futures Trading: Purpose, Use, Impact, and Regulation of Cattle Futures Markets." GAO/RCED-88-30. General Accounting Office.

1987

47

91

GAO

"European Community: US Financial Services' Competitiveness Under the Single Market Program"

• "European Community: US Financial Services' Competitiveness Under the Single Market Program." GAO/NSIAD-90-99. General Accounting Office.

1990

47

92

GAO

"Securities Trading: SEC Action Needed to Address National Market System Issues"

• "Securities Trading: SEC Action Needed to Address National Market System Issues." GAO/GGD-90-52. General Accounting Office.

1990

47

93

GAO

"Futures Markets: Strengthening Trade Practice Oversight"

• "Futures Markets: Strengthening Trade Practice Oversight." GAO/GGD-89-120. General Accounting Office.

1989

47

95

GAO

"Leverage Contracts: CFTC's Regulation of Leverage Contracts"

• "Leverage Contracts: Commodity Futures Trading Commision's Regulation of Leverage Contracts." GAO/GGD-88-41. General Accounting Office.

1988

47

96

GAO

"Financial Markets: Issuers, Purchasers, and Purposes of High Yield, Non-Investment Grade Bonds"

• "Financial Markets: Issuers, Purchasers, and Purposes of High Yield, Non-Investment Grade Bonds." GAO/GGD-88-55FS. General Accounting Office.

1988

47

97

GAO

"Financial Markets: Preliminary Observations on the October 1987 Crash"

• "Financial Markets: Preliminary Observations on the October 1987 Crash." GAO/GGD-88-38. General Accounting Office. .

1988

47

98

GAO

"Foreign Bank: Initial Assessment of Certain BCCI Activities in the US"

• "Foreign Bank: Initial Assessment of Certain BCCI Activities in the US" GAO/GGD-92-96. General Accounting Office.

1992

47

99

GAO

"Securities and Futures Markets: Cross Border Information Sharing is Improving, But Obstacles Remain"

• "Foreign Bank: Initial Assessment of Certain BCCI Activities in the US" GAO/GGD-92-96. General Accounting Office.

1992

47

99

GAO

"Securities and Futures Markets: Cross Border Information Sharing is Improving, But Obstacles Remain"

• "Foreign Bank: Initial Assessment of Certain BCCI Activities in the US." GAO/GGD-92-110. General Accounting Office.

1992

47

100

GAO

"Securities Firms: Assessing the Need to Regulate Additional Financial Activities"

• "Securities Firms: Assessing the Need to Regulate Additional Financial Activities." GAO/GGD-92-70. General Accounting Office.

1992

47

101

GAO

"Government Sponsered Enterprises: Using Private Risk-Ratings for Exemptions From Federal Regulations"

• "Securities Firms: Assessing the Need to Regulate Additional Financial Activities." GAO/GGD-92-10. General Accounting Office.

1991

47

102

GAO

"Securities Regulation: Customer Protection Rule Oversight Procedures Appear Adequate"

• "Securities Regulation: Customer Protection Rule Oversight Procedures Appear Adequate." GAO/GGD-92-17. General Accounting Office.

1991

47

103

GAO

"Securities and Future Markets: Efforts to Detect Intermarket Frontrunning"

• "Securities Regulation: Customer Protection Rule Oversight Procedures Appear Adequate." GAO/GGD-91-135. General Accounting Office.

1991

47

104

GAO

"Global Financial Markets: International Cordination Can Help Address Automation Risk"

• "Global Financial Markets: International Cordination Can Help Address Automation Risk." GAO/IMTEC-91-62. General Accounting Office.

1991

47

105

GAO

"Securities Markets: Clearly Defined ‘Chinese Walls' Standards Have Been Issued"

• "Global Financial Markets: International Cordination Can Help Address Automation Risk." GAO/GGD-91-115. General Accounting Office.

1991

47

106

GAO

"Chicago Futures Markets: Selecting Agricultural Futures Delivery Points Involves Tradeoffs"

• "Chicago Futures Markets: Selecting Agricultural Futures Delivery Points Involves Tradeoffs." GAO/GGD-91-84. General Accounting Office.

1991

47

107

GAO

"Oil Prices: Analysis of Oil Futures Market Prices Since Iraq's Invasion of Kuwait"

• "Oil Prices: Analysis of Oil Futures Market Prices Since Iraq's Invasion of Kuwait." GAO/GGD-91-73BR. General Accounting Office.

1991

47

108

GAO

"Stock Market Automation: Exchanges Have Increased Systems' Capacities Since the 1987 Market Crash"

• "Stock Market Automation: Exchanges Have Increased Systems' Capacities Since the 1987 Market Crash." GAO/IMTEC-91-37. General Accounting Office.

1991

47

109

GAO

"Futures Markets: Strengthening Sales Practice Oversight"

• "Futures Markets: Strengthening Sales Practice Oversight." GAO/GGD-91-41. General Accounting Office.

1991

47

110

GAO

"Bank Supervision: Prompt and Forceful Regulatory Actions Needed"

• "Bank Supervision: Prompt and Forceful Regulatory Actions Needed." GAO/GGD-91-69. General Accounting Office.

1991

47

111

GAO

"Employee Financial Disclosure: CFTC System Affords Reasonable Protection Against Conflicts of Interest"

• "Employee Financial Disclosure: CFTC System Affords Reasonable Protection Against Conflicts of Interest." GAO/GGD-91-03. General Accounting Office.

1990

47

112

GAO

"Futures Markets: Use of Automation to Detect Trade Abuses"

• "Futures Markets: Use of Automation to Detect Trade Abuses." GAO/IMTEC-90-81. General Accounting Office.

1990

47

113

GAO

"Securities and Futures Markets: Assessment of SEC and CFTC Studies of October 1989 Market Volatilities"

• "Securities and Futures Markets: Assessment of SEC and CFTC Studies of October 1989 Market Volatilities." GAO/GGD-90-108BR. General Accounting Office.

1990

47

114

GAO

"Financial Markets: Oversight of Automation Used to Clear and Settle Trades Is Uneven"

• "Financial Markets: Oversight of Automation Used to Clear and Settle Trades Is Uneven." GAO/IMTEC-90-47. General Accounting Office.

1990

47

115

Hastings International

Dispute Resolution between investors...

• Dispute Resolution Between investors and broker-dealers in the United States securities markets. Catherine McGuire and Robert Love. Reprinted from The Hastings International and Comparative Law Review. Vol. 14 - Winter 1991 - No. 2. pp. 431-461.

1991

47

116

International Organization of Securities Commssions

Collated summary of responses

• Collated summary of responses to common framework of analysis. International organization of securities commission. Working party 7. 05/21/90.

1990

47

117

International Organization of Securities Commssions

Cross regulatory summary chart

• Cross regulatory summary chart. International organization of securities commissions. Working party 7. 05/21/90.

1990

47

118

International Organization of Securities Commssions

Report on screen-based trading systems

• Report on screen-based trading systems for derivative products. International organization of securities commissions. Working party 7. 05/21/90.

1990

47

119

International Organization of Securities Commssions

Information collections and data reporting

• Information collection and data reporting compendium. International organization of securities commissions. Working party 7. 05/21/90.

1990

48

120

Kirkland & Ellis

Pending LTM registration applications...

• Memo and attached documents from Mark D. Young, Kirkland & Ellis on behalf of the Board of Trade of the City of Chicago, the Chicago Mercantile Exchange, and Commodity Exchange, Inc. to Jean A. Webb, CFTC RE : Pending LTM registration applications of Monex International, Ltd. and First Asset Corporation. List of appendices A-O following memo and before tab A.

• Numerous documents bound together in spiral binding all related to LTM registration applications of Omnex International, Ltd. and First Asset Corporation

1985

48

121

Managed Futures Association

Proposal to simplify commodity pool...

• A proposal to simplify commodity pool disclosure documents. Prepared by the Managed Futures Association. 06/05/91.

1991

48

122

Market Facts, Inc.

Survey of options and futures traders

• Survey of options and futures traders. Submitted to the Board of Governors of the Federal Reserve System, CFTC [and] SEC. Submitted by Market Facts, Inc. 12/21/84.

1984

48

123

Market Facts, Inc.

 

[The Collections Manager cannot find anything in the box with number 123 on it. The next item in the box is 124. 12/13/94]

 

48

124

New York Metal Exchange

Natural Gas Futures Handbook

NYMEX Natural gas futures handbook with appendices. New York Metals Exchange.

[1987]

49

125

Monograph series in finance and economics

Effect of margins on the volatility of stock...

• The effect of margins on the volatility of stock and derivative markets : a review of the evidence by Don M. Chance. Monograph series in finance and economics. Monograph 1990-2. New York University Salomon Center. Leonard N. Stern School of Business

1990

49

126

National Futures Association(NFA)

NFA membership and CFTC registration

• An application guide : NFA membership and CFTC registration. National Futures Association.

[1990]

49

127

NFA

Arbitrator's manual

• National Futures Association Arbitrator's manual. 09/00/86.

1986

49

128

NFA

Compliance guide

• A Compliance Guide : Commodity pool operators and commodity trading advisors. National Futures Association.

1985

49

129

NFA

Compliance guide

• A Compliance Guide : Introducing brokers. National Futures Association.

1985

49

130

NFA

Introduction to the NFA

• An introduction to the National Futures Association. National Futures Association.

[1985]

49

131

NFA

First three years

• The First Three Years : An NFA report as of September 30, 1985 to House of Representatives Committee on Agriculture and Senate Committee on Agriculture, Nutrition and Forestry. National Futures Association. 02/18/86.

1986

49

132

NFA

News , Facts, Actions

• News, Facts, Actions. National Futures Association newsletter. vol. 3, no. 2, 05/00/85.

1985

49

133

NFA

Compliance Guide

• A Compliance Guide : Commodity Pool Operators and Commodity Trading Advisors. National Futures Association.

1986

49

134

NFA

Customer account protection study

• Customer account protection study. National Futures Association. 11/20/86.

1986

49

135

NFA

News, Facts, Actions

• News, Facts, Actions. National Futures Association newsletter, Spring, 1987.

1987

49

136

NFA

Continuing commitment to excellence

• A Continuing Commitment to Excellence : An NFA report as of December 31, 1988 to House of Representatives Committee on Agriculture and Senate Committee on Agriculture, Nutrition and Forestry.

1989

49

137

National Association of Attorneys General

Preliminary report on December Energy Crisis

• Preliminary report on the December 1989 energy crisis. National Association of Attorneys General, 03/18/90.

1990

49

138

New York Stock Exchange

Market volatility and investor confidence

• Market volatility and investor confidence. Report to the Board of Directors of the New York Stock Exchange, Inc. 05/24/90.

1990

49

139

New York Stock Exchange

Overview of program trading...

• An overview of program trading and its impact on current market practices by Nicholar deB Katzenbach, Esq. A study commissioned by the New York Stock Exchange. 12/21/87.

1987

50

140

Securities and Exchange Commission

Trading analysis of October 13 and 16, 1989

• Trading analysis of October 13 and 16, 1989. A report by the Division of Market Regulation U.S. Securities and Exchange Commission. 05/00/90

• Note : Although the commission has authorized publication of this report, it has expressed no view regarding the analysis, findings or conclusions therein.

1990

50

141

Securities and Exchange Commission

Study of the effects on the economy of trading...

• A study of the effects on the economy of trading in futures and options. Submitted to the Committee on Agriculture and the Committee on Energy and Commerce of the House of Representatives and to the Committee on Agriculture, Nutrition and Forestry and the Committee on Banking of the Senate by the Board of Governors of the Federal Reserve System, Commodity Futures Trading Commission, Securities and Exchange Commission pursuant to Section 23(a) of the Commodity Exchange Act, as ammended. Sent to Congress 12/31/84.

1984

50

142

Pacific Western University

Inflation, its causes, consequences...

• Inflation, its causes, consequences and political implications for society. A dissertation submitted to the faculty of the division of social sciences in candidacy for the degree of Doctor of Philosophy, Department of Political Science. By Budd Jaye Hallberg. Pacific Western University. 09/00/80.

1980

50

143

University of Pennsylvania

Law review

• Swaps, the modern process of financial innovation and the vulnerability of a regulatory paradigm by Henry T. C. Hu. University of Pennsylvania Law Review. Vol. 138, No. 2. 12/00/89.

1989

50

144

Vanderbilt University

Law review

• Regulation of new financial instruments under the federal securities and commodities laws by David J. Gilberg. Vanderbilt Law Review. Vol. 39, no. 6. 11/00/86.

1986

50

145

Virginia Polytechnic Institute

Regulatory review and reform...

• Regulatory review and reform of the futures industry. Edited by Robert J. Mackay and Robert W. Kamphuis, Jr. Center for Study of Futures and Options Markets. R. B. Pamplin College of Business, Virginia Polytechnic Institute and State University. 09/00/92.

1992

50

146

Yale Journal on Regulation

Manipulation of Commodity Futures Prices...

• Manipulation of commodity futures prices - the unprosecutable crime by Jerry W. Markham. Yale Journal on Regulation. Vol. 8, no. 2.

1991


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