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March 01, 2002
Ms. Jean A. Webb
Commodity Futures Trading Commission
Three Lafayette Centre
1155 21st Street, N.W.
Washington, DC 20581
Re: National Futures Association: Proposed Adoption of an Interpretive Notice to NFA Compliance Rule 2-9 Regarding Supervision of the Use of Automated Order-Routing Systems
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") the proposed adoption of an Interpretive Notice to NFA Compliance Rule 2-9 Regarding Supervision of the Use of Automated Order-Routing Systems. The proposal contained herein was approved by NFA's Board of Directors ("Board") on February 21, 2002. NFA respectfully requests Commission review and approval of the proposal.
NFA respectfully requests that the Commission review and approve the proposal contained herein and also requests that the proposed amendments be declared effective upon Commission approval.
Thomas W. Sexton
Vice President and General Counsel
cc: 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.