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March 04, 2003
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 Ethics Training Requirements*
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 Ethics Training Requirements. The proposal was unanimously approved by NFA's Board of Directors ("Board") on February 20, 2003. NFA respectfully requests Commission review and approval of this proposal.
NFA respectfully requests that the Commission review and approve the proposal contained herein and also requests that the proposal be declared effective upon Commission approval.
Thomas W. Sexton
Vice President and General Counsel
cc: Chairman James E. Newsome
Commissioner Barbara Pedersen Holum
Commissioner Sharon Brown-Hruska
Commissioner Walt Lukken
Jane Kang Thorpe, Esq.
Gregory Mocek, Esq.
Patrick J. McCarty, Esq.
David Van Wagner, Esq.
Riva Spear Adriance, Esq.
* The proposed adoption of an Interpretive Notice to NFA Compliance Rule 2-9 Regarding Ethics Training Requirements became effective on July 1, 2003.