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September 13, 2001
Ms. Jean A. Webb
Commodity Futures Trading Commission
Three Lafayette Centre
1155 21st Street, N.W.
Washington, DC 20581
Re: National Futures Association: Proposed Amendments to NFA Compliance Rule 3-15 and NFA Code of Arbitration and 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 NFA Compliance Rule 3-15 and NFA Code of Arbitration and Member Arbitration Rules. The proposals contained herein were approved by NFA's Board of Directors ("Board") on August 16, 2001. NFA respectfully requests Commission review and approval of the proposals.
NFA respectfully requests that the Commission review and approve the proposed amendments to NFA Compliance Rule 3-15 and the NFA Code of Arbitration and Member Arbitration Rules. NFA also requests that the proposals be declared effective upon Commission approval.
Thomas W. Sexton
Vice President and General Counsel
cc: Acting Chairman James E. Newsome
Commissioner Barbara Pedersen Holum
Commissioner David D. Spears
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 amendment to NFA Compliance Rule 3-15 became effective on November 30, 2001.