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September 03, 1999
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 Compliance Rule 3-4(b) and NFA Registration Rule 302(d).*
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 3-4(b) and NFA Registration Rule 302(d). The proposed amendments were approved by NFA's Board of Directors ("Board") on August 19, 1999.
NFA intends to make the proposed amendments effective t10 days after receipt of this submission by the Commission unless the Commission notifies NFA within the 10-day period that the Commission has determined to review the amendments for approval.
Daniel J. Roth
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.
I. Michael Greenberger, Esq.
Alan L. Seifert, Esq.
David Van Wagner, Esq.
Riva Spear Adriance, Esq.
* The proposed amendments to Compliance Rule 3-4(b) and NFA Registration Rule 302(d) became effective on September 17, 1999 under the 10-day effective date provision invoked in NFA's submission.