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April 11, 2001
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 Article III, Section 1, of NFA's Articles of Incorporation
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 Section 1 of Article III of NFA's Articles of Incorporation. The Articles amendments were unanimously ratified by NFA's Board of Directors ("Board") on February 15, 2001, and have since been adopted by a two-thirds vote of those Members actually voting in the Contract Market category and a majority of those Members actually voting in the FCM, LTM, and IB category and the Industry Participant (CPO and CTA) category.
Proposed Amendments to Article III of NFA's Articles of Incorporation
Explanation of Proposed Amendments
NFA intends to make the amendments effective ten days after receipt of this submission by the Commission unless the Commission notifies NFA within the ten-day period that the Commission has determined to review the amendments for approval.
Daniel J. Roth
Executive 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.