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Notice I-01-28

December 14, 2001

Ballot Enclosed for Voting in NFA’s Annual Election

Enclosed is your ballot for voting in NFA’s annual election. NFA is a membership organization and each Member’s vote is very important. Make your voice heard by completing your ballot. Members may vote only in their respective voting categories and no write-in votes will be accepted. In this year’s annual election, each NFA Member Futures Commission Merchant can vote for four individuals in each of the two FCM categories to serve on NFA’s Board. Each NFA Member Introducing Broker can vote for one individual to serve on NFA’s Board. All ballots must be completed and received by Arthur Andersen, LLP on or before January 15, 2002. Ballots submitted which are not in accordance with these procedures, or which are received after January 15, 2002, will be considered void. All ballots must be sent to Arthur Andersen, LLP. A pre-addressed, postage-paid envelope is enclosed for your convenience.

Also enclosed is a copy of any information received by NFA from candidates in your voting category. If you have questions, please contact Tony Rose at (312) 781-1469 or Thomas W. Sexton at (312) 781-1413.

NATIONAL FUTURES ASSOCIATION

FUTURES COMMISSION MERCHANT

BALLOT

BOARD OF DIRECTORS

Top-Ten FCMs
Please vote for four (4) individuals.

____Bonnie Litt, Managing Director & Associate General Counsel, Goldman, Sachs & Co.

____Joseph J. Murphy, President, Refco LLC

____Ronald S. Oppenheimer, First Vice President & General Counsel, Futures & Options, Merrill Lynch & Co.

____Michael R. Schaefer, Executive Vice President, Salomon, Smith Barney, Inc.

____David C. Sturm, Vice President, J.P. Morgan Futures, Inc.

Other FCMs
Please vote for four (4) individuals.

____Richard A. Beech, Executive Director, Morgan Stanley DW, Inc.

____W. Robert Felker, President & Chief Operating Officer, Banc One Capital Markets, Inc.

____James A. Gary, Executive Vice President & Director of Global Futures, ABN AMRO Incorporated

____Douglas O. Kitchen, Managing Director, Rosenthal Collins Group LLC

____Charles P. Nastro, Managing Director & Co-head of Global Futures, Lehman Brothers, Inc.

____Jan R. Waye, Senior Vice President, Cargill Investor Services, Inc.

***THIS BALLOT MUST BE RECEIVED BY JANUARY 15, 2002***


NATIONAL FUTURES ASSOCIATION

INTRODUCING BROKER

BALLOT

BOARD OF DIRECTORS

Guaranteed IBs
Please vote for one (1) individual.

____Paul J. Georgy, President & Chief Executive Officer, Allendale, Inc.

____Lou Illes, President, McFarland Commodities, Inc.

____John J. Lothian, President – Electronic Trading Division, The Price Futures Group, Inc.

***THIS BALLOT MUST BE RECEIVED BY JANUARY 15, 2002***

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
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