Item

Title

Date

74

Arbitration of Commodity -Related Customer Disputes in Selected Forums Outside the Commodity Futures Industry. CFTC.

1991

110

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

1991

81

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

1984

23

Blueprint For The 1990s: The Role of the Exchange Chicago Mercantile Exchange.

(1990)

76

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

1991

106

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

1991

19

Chicago Mercantile Exchange Implementation of Brady Task Force Recommendations. Chicago Mercantile Exchange. 9p.

1988

61

Chicago Mercantile Exchanges’s Proposed GLOBEX Trading System. CFTC.

1989

116

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

1990

28

Columbia Futures Center: Information Bulletin Columbia Futures Center.

(1984)

37

Commodity Account Protection: A Study By the Division of Trading and Markets. CFTC.

(1985)

87

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

1982

88

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

1982

30+

CFTC. Budget information.

1986-94

38

CFTC: Current Issues. Practising Law Institute. CFTC.

1986

90

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

1987

128+

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

1985-86

136

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

24

Cowen, Tyler. Program Trading: A Look Behind the Headlines Citizens For A Sound Economy Foundation.

1988

117

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

1990

134

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

1986

115

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

67

Divsion of Economic Analysis . Report on Stock Index Futures and Cash Market Activity During October 1989 to the CFTC. CFTC.

1990

63

Economic Analysis of Dual Trading on Commodity Exchanges. CFTC.

1989

25

Economic Index Futures: An Introduction to the Concept of Shifting Macroeconomic Risk Coffee, Sugar & Cocoa Exchange, Inc.

(1983)

27

Edwards, Franklin R. Studies of the 1987 Stock Market Crash: Review and Appraisal. Columbia Futures Center.

1988

125

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

111

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

1990

91

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

1990

2

Evolving Regulatory Framework For Foreign Currency Training The Committee on Futures Regulation of the Association of the Bar of New York. 97p.

(1987)

50

Final Report on Stock Index Futures and Cash Market Activity to the U.S. CFTC (CFTC). CFTC.

1988

96

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

1988

114

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

1990

97

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

1988

131

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

51

Follow-up Report on Financial Oversight of Stock Index Futures Markets During October 1987 CFTC. 1988.

1988

98

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

1992

99

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

1992

99

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

1992

3

Functional Requirements For The CFTC Violators Systems Capital Systems, Inc. Arlington, Virginia.

1984

17

Future of Futures. Chicago Mercantile Exchange. 25p.

(1988)

62

Futures Industry Association Inc. Law and Compliance Division. CFTC.

1989

12

Futures And Options Trading For Insurance Companies: The Regulatory Environment. CME White Paper Series Number 4. Chicago Mercantile Exchange.

(1985)

13

Futures And Options Trading For Pension Plans: The Regulatory Environment. CME White Paper Series Number 2. Chicago Mercantile Exchange.

(1985)

14

Futures And Options Trading For Savings And Loan Associations: The Regulatory Environment. CME White Paper Series Number 3. Chicago Mercantile Exchange.

(1985)

93, 109

Futures Markets: Strengthening Trade Practice Oversight. GAO/GGD-89-120/ GAO/GGD-91-41.. General Accounting Office.

1989, 91

112

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

1990

104+

Global Financial Markets: International Coordination Can Help Address Automation Risk. GAO/IMTEC-91-62/ GAO/GGD-91-115. General Accounting Office.

1991

20

GLOBEX Presentation Commodity Futures Commission. Chicago Mercantile Exchange.

1988

22

GLOBEX: A Summary of the Electronic Transaction System of the CME Chicago Mercantile Exchange. 45p.

1989

43

Hedging Definition and the Use of Financial Futures and Options: Problems and Recommendations For Reform. Appendix. CFTC.

1987

44

Hedging Definition and the Use of Financial Futures and Options: Problems and Recommendations For Reform. CFTC.

1987

10

Hedging Workbook. Chicago Board Of Trade. 28p.

1982

5

Hedging: A Guide For Agricultural Lenders. Chicago Board Of Trade. 110p.

1982

4

How To Sell Futures. Spring Mills, PA. Center For Futures Education.

1989

16

Impact of the Cattle Futures Market on the Cash Market: An Analysis of Current Concerns. Chicago Mercantile Exchange.

1986

142

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

119

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

1990

34

Initial Report on the National Futures Association (NFA) Arbitration System. CFTC.

1985

83

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

1988

49

Interim Report on Stock Index Futures and Cash Market Activity to the U.S. CFTC (CFTC). CFTC.

1987

72

Intermarket Coordination Report CFTC.

1991

73

Intermarket Coordination Report. Appendices CFTC.

1991

129

Introducing brokers. A Compliance Guide. National Futures Association.

1985

11

Introduction To Hedging. Chicago Board Of Trade. 31p.

1978

130

Introduction to the National Futures Association. National Futures Association.

[1985]

26

Kane, Edward J. Regulatory Structure in Futures Markets: Jurisdiction Competition Between the SEC, the CFTC, and Other Agencies Columbia Futures Center.

1984

55

Kuhn and Moriarty. A Comparision of Futures and Common Stock Margins. CFTC.

1988

57

Kuhn and Moriarty. A Comparision of Futures and Common Stock Margins-Revised. CFTC.

1988

54

Kuserk, Gregory J. Trading in Livestock Futures and Option Markets: A Survey of Traders With Open Positions on March 13, 1987. CFTC.

1988

1

Large Order Execution In The Futures Market The Committee on Futures Regulation of the Association of the Bar of New York. 53p.

(1988)

95

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

1988

53

Leverage Survey Report. Appendix. CFTC.

1988

146

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

1991

78

Market Reform Act of 1990. Annual Report to Congress- CFTC.

1992

138

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

1990

120

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

18

Miller, et al. Findings of the Committee of Inquiry: Examining the Events Surrounding October 19, 1987. Chicago Mercantile Exchange.

1988

7

Miller, Merton and Sanford Grossman. A Study Of The Economic Costs And Benefits Of Implementing The CFTC’s One-Minute Time Bracketing Proposal. Chicago Board Of Trade.

1985

35

National Futures Association (NFA) Sales Practice Regulation, Investigations, Public Education: Commodity Exchange Act Section 26(b)- Preliminary Report. CFTC.

1986

35

National Futures Association (NFA) Sales Practice Regulation, Investigations, Public Education: Commodity Exchange Act Section 26(b)- Preliminary Report. Division of Trading and Markets. CFTC. 03/26/85.

1985

127

National Futures Association Arbitrator’s manual. 09/00/86.

1986

36

National Futures Association. CFTC.

1985

132

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

1985

135

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

1987

126

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

[1990]

124

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

[1987]

107

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

1991

139

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

6

Peck, A.E. Selected Writings On Futures Markets: Research Directions in Commodity Markets, 1970-1980. Book IV. Chicago Board Of Trade. 350p.

1984

137

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

1990

80

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

1983

15

Program Trading: An On-The-Record Symposium. Chicago Mercantile Exchange.

1986

121

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

1991

8

Proposed Minimal Capital Requirements-the Response, Chicago Board Of Trade.

1986

144

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

9

Regulatory Issues in Financial Markets Fall Research Seminar. Chicago Board Of Trade.

1988

145

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

82

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

1988

21

Report of the Chicago Mercantile Exchange Special Committee to Review Trading Practices to the Board of Governors. Chicago Mercantile Exchange.

1989

86

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

1988

47

Report on Exchanges of Futures For Physicals. CFTC.

1987

48

Report on Exchanges of Futures For Physicals. CFTC.

1987

41

Report on Exchanges of Futures for Physicals. Appendices. CFTC.

(1986)

58

Report on Leverage Transactions Mandated Under Section 19 of the Commodity Exchange Act. CFTC.

1988

118

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

1990

102

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

1991

103

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

1991

113

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

1990

100

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

1992

101

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

1991

92

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

1990

66

Semiannual Report of the Office of the Inspector General. CFTC.

1990

29

Silver Market of 1979/1980: Actions of the Chicago Board Of Trade and the Commodity Exchange, Inc. Division of Trading and Markets. CFTC.

(1982)

108

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

1991

141

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, CFTC, Securities and Exchange Commission pursuant to Section 23(a) of the Commodity Exchange Act, as ammended. Sent to Congress 12/31/84.

1984

31+

Study of the Nature, Extent and Effects of Futures Trading By Persons Possessing Material, Nonpublic Information CFTC.

1984

64

Study on Broker Associations. CFTC.

1990

71

Survey of Commodity Pool Operators in Futures Markets With an Analysis of Interday Position Changes. CFTC.

1991

122

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

143

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

140

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

84

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

1991

89

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

1986

33

Uses of Livestock Futures Markets By Large Hedgers. CFTC.

1985

46

West, Fowler C. History of Arbitration in the Futures Industry and Its Interaction With the Commission’s Reparation Program. CFTC.

1987

40

West, Fowler. Audit Trail Notebook. CFTC.

1986

69

Workshop on New Financial Instruments. CFTC.

1990