Baylor University Poage Library

Box 45 - 50


Fowler C. 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 ForumsOutside 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- EleventhMeeting of the CFTCFinancial Products Advisory Committee

Briefing Materials- EleventhMeeting of the CFTC Financial ProductsAdvisory 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 FuturesTrading 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 Groupon Regulation of Financial Services

Blueprint For Reform: The Report of the Task Group on Regulation of FinancialServices.Washington, D.C.Federal Government.

1984

46

82

Federal Government

Reportof the Presidential Task Force on Market Mechanisms

Reportof the Presidential Task Force on Market Mechanisms.Washington,D.C.Federal Government.

1988

46

83

Federal Government

Interim Report of the Working Group on FinancialMarkets

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 CommoditiesFraudWorking Group

United States Department of Justice.Directory and Resource Guide:Securities and Commodities FraudWorking 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 GovernmentPrinting Office.Federal Reserve Board.

1988

46

87

General Accounting Agency (GAO)

Commodity Futures Regulation--Current Status andUnresolved Issues- Report to the Congress of the United States

Commodity Futures Regulation--Current Status and Unresolved Issues- Reportto the Congress of the United States.GAO/CED-82-100.General AccountingOffice.

1982

46

88

GAO

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

Summary:Commodity Futures Regulation--Current Status and UnresolvedIssues- Report to the Congress of the United States.GAO/CED-82-100.GeneralAccountingOffice.

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 AccountingOffice.

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 CattleFutures Markets.GAO/RCED-88-30.General AccountingOffice.

1987

47

91

GAO

European Community:US Financial ServicesCompetitivenessUnder the Single Market Program

European Community:US Financial ServicesCompetitiveness Under theSingle Market Program.GAO/NSIAD-90-99.General AccountingOffice.

1990

47

92

GAO

Securities Trading:SEC Action Needed to AddressNational Market System Issues

Securities Trading:SEC Action Needed to Address National Market SystemIssues.GAO/GGD-90-52.General AccountingOffice.

1990

47

93

GAO

Futures Markets:Strengthening Trade Practice Oversight

Futures Markets:Strengthening Trade Practice Oversight.GAO/GGD-89-120.General AccountingOffice.

1989

47

95

GAO

Leverage Contracts: CFTC s Regulation of LeverageContracts

Leverage Contracts: Commodity Futures Trading Commision s Regulationof Leverage Contracts.GAO/GGD-88-41.General AccountingOffice.

1988

47

96

GAO

Financial Markets:Issuers, Purchasers, and Purposesof High Yield, Non-Investment Grade Bonds

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

1988

47

97

GAO

Financial Markets:Preliminary Observations on theOctober 1987 Crash

Financial Markets:Preliminary Observations on the October 1987 Crash.GAO/GGD-88-38.General AccountingOffice..

1988

47

98

GAO

Foreign Bank:Initial Assessment of Certain BCCIActivities in the US

Foreign Bank:Initial Assessment of Certain BCCI Activities in the USGAO/GGD-92-96.General AccountingOffice.

1992

47

99

GAO

Securities and Futures Markets: Cross Border InformationSharing is Improving, But Obstacles Remain

Foreign Bank:Initial Assessment of Certain BCCI Activities in the USGAO/GGD-92-96.General AccountingOffice.

1992

47

99

GAO

Securities and Futures Markets: Cross Border InformationSharing is Improving, But Obstacles Remain

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

1992

47

100

GAO

Securities Firms:Assessingthe Needto RegulateAdditional Financial Activities

Securities Firms:Assessingthe Needto Regulate Additional FinancialActivities.GAO/GGD-92-70.General AccountingOffice.

1992

47

101

GAO

Government Sponsered Enterprises:Using PrivateRisk-Ratings for Exemptions From Federal Regulations

Securities Firms:Assessingthe Needto Regulate Additional FinancialActivities.GAO/GGD-92-10.General AccountingOffice.

1991

47

102

GAO

SecuritiesRegulation:Customer Protection Rule Oversight Procedures Appear Adequate

SecuritiesRegulation:Customer Protection Rule Oversight ProceduresAppear Adequate.GAO/GGD-92-17.General AccountingOffice.

1991

47

103

GAO

Securitiesand Future Markets:Efforts to Detect Intermarket Frontrunning

SecuritiesRegulation:Customer Protection Rule Oversight ProceduresAppear Adequate.GAO/GGD-91-135.General AccountingOffice.

1991

47

104

GAO

Global Financial Markets:International CordinationCan Help Address Automation Risk

Global Financial Markets:International Cordination Can Help AddressAutomation Risk.GAO/IMTEC-91-62.General AccountingOffice.

1991

47

105

GAO

Securities Markets:Clearly DefinedChinese WallsStandardsHave Been Issued

Global Financial Markets:International Cordination Can Help AddressAutomation Risk.GAO/GGD-91-115.General AccountingOffice.

1991

47

106

GAO

Chicago Futures Markets:Selecting AgriculturalFutures Delivery Points Involves Tradeoffs

Chicago Futures Markets:Selecting Agricultural Futures Delivery PointsInvolves Tradeoffs.GAO/GGD-91-84.General AccountingOffice.

1991

47

107

GAO

Oil Prices:Analysis of Oil Futures Market PricesSince Iraq s Invasion of Kuwait

Oil Prices:Analysis of Oil Futures Market Prices Since Iraq s Invasionof Kuwait.GAO/GGD-91-73BR.General AccountingOffice.

1991

47

108

GAO

Stock Market Automation:Exchanges Have IncreasedSystemsCapacities Since the 1987 Market Crash

Stock Market Automation:Exchanges Have Increased SystemsCapacitiesSince the 1987 Market Crash.GAO/IMTEC-91-37.General AccountingOffice.

1991

47

109

GAO

Futures Markets:Strengthening Sales Practice Oversight

Futures Markets:Strengthening Sales Practice Oversight.GAO/GGD-91-41.General AccountingOffice.

1991

47

110

GAO

Bank Supervision:Prompt and Forceful RegulatoryActions Needed

Bank Supervision:Prompt and Forceful Regulatory Actions Needed.GAO/GGD-91-69.General AccountingOffice.

1991

47

111

GAO

EmployeeFinancial Disclosure:CFTC System Affords ReasonableProtection AgainstConflicts of Interest

EmployeeFinancial Disclosure:CFTC System Affords ReasonableProtectionAgainst Conflicts of Interest.GAO/GGD-91-03.General AccountingOffice.

1990

47

112

GAO

Futures Markets: Use of Automation to Detect TradeAbuses

Futures Markets: Use of Automation to Detect Trade Abuses.GAO/IMTEC-90-81.General AccountingOffice.

1990

47

113

GAO

Securities and Futures Markets:Assessmentof SECand CFTC Studies of October 1989 Market Volatilities

Securities and Futures Markets:Assessmentof SEC and CFTC Studiesof October 1989 Market Volatilities.GAO/GGD-90-108BR.General AccountingOffice.

1990

47

114

GAO

Financial Markets:Oversight of Automation Usedto Clear and Settle Trades Is Uneven

Financial Markets:Oversight of Automation Used to Clear and SettleTrades Is Uneven.GAO/IMTEC-90-47.General AccountingOffice.

1990

47

115

Hastings International

Dispute Resolution between investors...

Dispute Resolution Between investors and broker-dealers in the UnitedStates securities markets.Catherine McGuire and Robert Love.Reprintedfrom 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.Internationalorganization 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 securitiescommissions.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 organizationof 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 onbehalf of the Board of Trade of the City of Chicago, the Chicago MercantileExchange, and Commodity Exchange, Inc. to Jean A. Webb, CFTCRE :PendingLTM registration applications of Monex International, Ltd. and First AssetCorporation.List of appendicesA-O following memo and beforetab A.

Numerous documents bound together in spiral binding all related to LTMregistration applications of Omnex International, Ltd. and First AssetCorporation

1985

48

121

Managed Futures Association

Proposal to simplify commodity pool...

A proposal to simplify commodity pool disclosure documents.Preparedby 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 Governorsof 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 thebox 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.NewYork 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 seriesin finance and economics.Monograph 1990-2.New York UniversitySalomon 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.NationalFutures 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.NationalFutures 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 FuturesAssociation.

[1985]

49

131

NFA

First three years

The First Three Years :An NFA report as of September 30, 1985 to Houseof 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 TradingAdvisors.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 December31, 1988 to House of Representatives Committee on Agriculture and SenateCommittee 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 Associationof 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 Directorsof 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 practicesby Nicholar deB Katzenbach, Esq.A study commissioned by theNew 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 Divisionof 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 conclusionstherein.

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 Energyand Commerce of the House of Representatives and to the Committee on Agriculture,Nutrition and Forestry and the Committee on Banking of the Senate by theBoard of Governors of the Federal Reserve System, Commodity Futures TradingCommission, 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 sciencesin candidacy for the degree of Doctor of Philosophy, Department of PoliticalScience.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 vulnerabilityof a regulatory paradigm by Henry T. C. Hu.University of PennsylvaniaLaw Review. Vol. 138, No. 2. 12/00/89.

1989

50

144

Vanderbilt University

Law review

Regulation of new financial instruments under the federal securities andcommodities 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 RobertJ. Mackay and Robert W. Kamphuis, Jr.Center for Study of Futures andOptions Markets.R. B. Pamplin College of Business, Virginia PolytechnicInstitute andState University.09/00/92.

1992

50

146

Yale Journal on Regulation

Manipulation of Commodity Futures Prices...

Manipulation of commodity futures prices - the unprosecutablecrime byJerry W. Markham.Yale Journal on Regulation. Vol. 8, no. 2.

1991


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