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November 21, 2000

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 Sections 4(a), 9(i), 10(g), 11(a), 14, and 16(b) of NFA's Code of Arbitration and Sections 3(a), 9(i), 10(g), 11(a), 14, and 15(b) of NFA's Member Arbitration Rules.*

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 Sections 4(a), 9(i), 10(g), 11(a), 14, and 16(b) of NFA's Code of Arbitration and Sections 3(a), 9(i), 10(g), 11(a), 14, and 15(b) of NFA's Member Arbitration Rules. The proposed amendments were approved by NFA's Board of Directors ("Board") on November 16, 2000.

Proposed Amendments to Sections 4(a), 9(i), 10(g), 11(a), 14, and 16(b) of NFA's Code of Arbitration

Proposed Amendments to Sections 3(a), 9(i), 10(g), 11(a), 14, and 15(b) of NFA's Member Arbitration Rules

Explanation of Proposed Amendments

NFA respectfully requests that the Commission review and approve the proposal contained herein and also requests that the proposed amendments be declared effective upon Commission approval.

Respectfully submitted,

Daniel J. Roth
Executive Vice President and General Counsel

cc: Chairman William J. Rainer
Commissioner Barbara Pedersen Holum
Commissioner David D. Spears
Commissioner James E. Newsome
Commissioner Thomas J. Erickson
Phyllis J. Cela, Esq.
John C. Lawton, Esq.
Alan L. Seifert, Esq.
David Van Wagner, Esq.
Riva Spear Adriance, Esq.


* The proposed amendments to Sections 10(g), 14, and 16(b) of NFA's Code of Arbitration and Sections 10(g), 14, and 15(b) of NFA's Member Arbitration Rules became effective on March 21, 2001. The proposed amendments to Sections 4(a), 9(i) and 11(a) of NFA's Code of Arbitration and Sections 4(a), 9(i) and 11(a) of NFA's Member Arbitration Rules will apply to cases filed on or after May 1, 2001.

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