CFTC Rule Submissions

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August 25, 1997

Ms. Jean A. Webb
Secretariat
Commodity Futures Trading Commission
Three Lafayette Centre
1155 21st Street, N.W.
Washington, D.C. 20581

Re: National Futures Association: Proposed Amendments to NFA Compliance Rule 3-11 and NFA Registration Rules 201, 301 and 302 and Proposed Adoption of NFA Registration Rule 303*

Dear Ms. Webb:

Pursuant to Section 17(j) of the Commodity Exchange Act, as amended, National Futures Association ("NFA") hereby submits to the Commodity Futures Trading Commission ("CFTC" or "Commission") proposed amendments to NFA Compliance Rule 3-11 and NFA Registration Rules 201, 301 and 302 and the proposed adoption of NFA Registration Rule 303. The proposals contained herein were approved by NFA's Board of Directors on August 21, 1997. NFA respectfully requests Commission review and approval of the proposals.

Proposed Amendments to NFA Compliance Rule 3-11

Proposed Amendments of NFA Registration Rules 201, 301 and 302 and Proposed Adoption of NFA Registration Rule 303

Explanation of Amendments

Sincerely,

Daniel J. Roth
General Counsel

cc: Chairman Brooksley Born
Commissioner Barbara Pedersen Holum
Commissioner Joseph P. Dial
Commissioner John E. Tull, Jr.
Andrea M. Corcoran, Esq.
Geoffrey Aronow, Esq.
Alan L. Seifert, Esq.
Susan E. Ervin, Esq.
Lawrence B. Patent, Esq.
David Van Wagner, Esq.


*On January 6, 1999, the Commission approved the amendments and the new rule as proposed. They became effective upon CFTC approval.

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