Notices to Members

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Notice I-13-40

December 13, 2013

Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

This year, NFA has two contested elections in the CPO/CTA category of the Board of Directors. Enclosed is your ballot for voting in these elections. No write-in votes will be accepted. NFA is a membership organization and each Member's vote is very important.

In this year's annual election, each NFA Member firm which acts primarily as either a CPO or a CTA can cast one ballot to vote for one individual only running in each election to serve on NFA's Board. All ballots must be completed and mailed to Grant Thornton LLC in the postage-paid, pre-addressed envelope that is enclosed. The ballot must be received by Grant Thornton no later than January 21, 2014. Ballots which are either received after January 21, 2014 or submitted in an envelope other than the one provided will be considered void.

Position papers received by NFA for each of the candidates are also enclosed. Please contact either Christine Makino at (312) 781-1391 or Thomas Sexton at (312) 781-1413 if you have any questions.

Ballot

NATIONAL FUTURES ASSOCIATION

BALLOT

BOARD OF DIRECTORS
CPO/CTA CATEGORY

VOTE FOR NO MORE THAN ONE INDIVIDUAL IN EACH ELECTION

Vote for One Individual Only -- Douglas L. Bry, President, Northfield Trading LP Brendan R. Kalb, General Counsel, AQR Capital Management, LLC

Vote for One Individual Only -- Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel Ernest L. Jaffarian, CEO/CIO, Efficient Capital Management, LLC

THIS BALLOT MUST BE MAILED TO GRANT THORNTON LLC IN THE PROVIDED PRE-ADDRESSED, POSTAGE PAID ENVELOPE. THE BALLOT MUST BE RECEIVED NO LATER THAN JANUARY 21, 2014.