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March 08, 2000
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 Financial Requirements, NFA Compliance Rules and Interpretive Notices to Compliance 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 NFA Financial Requirements, NFA Compliance Rules, and Interpretive Notices to Compliance Rules. The amendments set forth herein were approved by NFA's Board of Directors on February 17, 2000. NFA respectfully requests Commission review and approval of these proposals.
NFA respectfully requests that the Commission review and approve the proposal contained herein and also requests that they be declared effective upon Commission approval.
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 NFA Compliance Rules and Interpretive Notices became effective on July 24, 2000. The proposed amendments to NFA Financial Requirements, Section 1 became effective on October 31, 2000.