Rule Submissions to the CFTC

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August 22, 1997

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

Re: National Futures Association: Proposed Amendments to NFA Registration Rule 401

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 ("Commission") proposed amendments to NFA Registration Rule 401. The amendments were approved by NFA's Board of Directors ("Board") at its meeting on August 21, 1997. NFA intends to make the amendments to NFA Registration Rule 401 effective as soon as practicable unless the Commission notifies NFA, within ten days after receipt of this submission, that the Commission has determined to review the amendments for approval*.

*By letter dated September 5, 1997, the Commission notified NFA that is has decided not to review the proposal. Therefore, the amendments to NFA Registration Rule 401 will be effective as soon as the development of the new Financial Instruments Examination is completed.


Explanation of Proposed Amendments


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.

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