(In the text of the amendments below, additions are underlined and deletions are bracketed and
lined out.)

Rule 4.33. Clerk Qualification Requirements, Registration Procedures, and Trading Prohibitions

The following Clerk qualification, registration procedures and trading prohibitions apply to all
clerical staff of Members or Member Firms trading in Commodity Contracts on the Trading Floor of the
Exchange:

* * *

(c) Registration Denial, Access Restrictions, Suspension and Termination of Registration: The
Executive Floor Committee may deny an application to be registered as a Clerk,_restrict_ access to the
Exchange’s premises for a specified period of time, and suspend and/or terminate the registration of any
Clerk if it determines, in its sole discretion, after notice and an opportunity to be heard, that the
registration of such applicant or the continued registration of such Clerk is contrary to the best interests of
the Exchange.

(d) Denial, Access Restriction, Suspension and Termination Procedures:

(i) Any action taken pursuant to paragraph (c) of this Rule shall be taken after notice to the
applicant or Clerk against whom the action is taken and to the Member or Member Firm who or
which seeks to register the applicant or has registered such Clerk on the Exchange and an opportunity
for such applicant or Clerk to be heard.

[REMAINDER OF RULE UNCHANGED]
Rule 21.26. Executive Floor Committee Summary Action

(a) If at any time, the Executive Floor Committee or any Senior [Officer] Vice President of the
Exchange determines or has a reasonable basis to believe that the [eentinued] presence of a Member or
Clerk on the Trading Floor, in the Write-up Room or other Exchange premises presents an imminent
threat to the safety or well-being of Members or employees or is, or threatens to be, disruptive to the
orderly operation of the Exchange, the Executive Floor Committee or such Senior [Officer] Vice
President may suspend, deny access to the Exchange’s premises or take any other action against such
Member or Clerk as it may deem necessary or appropriate to protect the best interest of the marketplace.
The powers of the Executive Floor Committee pursuant to this Rule may be delegated to a subcommittee
consisting of at least three (3) members of the Executive Floor Committee as the Chairman of the
Committee may decide in his sole discretion.

[REMAINDER OF RULE UNCHANGED]

EXHIBIT B


(In the text of the amendments below, additions are underlined.)

Rule 4.02. Trading Floor Access; Trading Restrictions; and Authorized Representation
(a) Access: Unless otherwise provided under the Rules, only the following individuals shall have
access to the Trading Floor:
* * *

(v) A guest of a Member of the Exchange wearing an authorized visitor's pass in a prominent
position at all times while on the Trading Floor; provided, however, that such guest shall not be
permitted to make any Transaction, enter any order or execute any Trade during the course of any
visit to the Exchange or its premises; provided further, however, that, if any Senior Vice President of
the Exchange determines that the presence of such guest on the Trading Floor is not in the best
interests of the Exchange, such Senior Vice President may deny access to such guest.

[REMAINDER OF RULE UNCHANGED]

EXHIBIT A


GINEX ORK.

World Financial Center
One North End Avenue
New York, New York 10282

BY ELECTRONIC TRANSMISSION
06-30
November 9, 2006°
Ms. Eileen A. Donovan
Acting Secretary of the Commission
Office of the Secretariat
Commodity Futures Trading Commission
Three Lafayette Centre
1155 21" Street, NW _
Washington, DC 20581 ‘ Ge

Re: Amendments to Rule 4.02 - Trading Floor Access
Submission Pursuant to Section 5c(c)(1) of the Act and Regulation 40.6
and
Request for Commission Approval of Amendments to Rules 4.33 and 21.26

Submission Pursuant to Section 5¢(c)(2) of the Act and Regulations 40.5

Dear Ms. Donovan:

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and
Commission Regulation 40.6, the Board of Trade of the City of New York, Inc. (“Exchange”)
submits, by written certification, amendments to Rule 4.02, attached hereto as Exhibit A.

Pursuant to Section 5c(c)(2) of the Commodity Exchange Act, as amended, and
Commission Regulation 40.5, the Exchange submits for approval, amendments to Rules 4.33 and
21.26, attached hereto as Exhibit B.

Rule 4.02

Currently, the Exchange’s rules provide that any visitor or guest may have access to the
trading floor as long as the guest is signed in by a floor member, is over the age of 14 and stays
for only an hour. There are situations in which the presence of a particular individual would not
be in the best of interests of the Exchange as his presence may be disruptive to trading or
jeopardize the safety of floor members and Exchange staff. Amendments to Rule 4.02(a)(v) will
authorize any Senior Vice President of the Exchange, in his or her sole discretion, to deny access
as a guest to any such person.


2-

Rules 4.33 and 21.26

Exchange rules authorize the Executive Floor Committee or any Senior Vice President to
suspend or take any other action against a member or a clerk if their continued presence on the
trading floor, the write-up room or other Exchange premises presents an imminent threat or is
disruptive to the orderly operation of the Exchange. There are times, however, when a member’s
or clerk’s actions outside the Exchange may present a threat to the orderly operation of the
Exchange so that the member or clerk should be denied access to the Exchange’s premises until a
hearing can be held and a determination made.

For example, if a member or clerk has previously been disciplined for disruptive conduct
on the trading floor and, then, is allegedly involved in a police action off the Exchange’s
premises where SWAT teams are called in to disarm such individual, there is a reasonable basis
to believe that the member’s or clerk’s presence of the trading floor would be disruptive to the
orderly operation of the Exchange. An Exchange official should be able to deny such member or
clerk access to the Exchange’s premises until such time as a hearing can be held and a
determination made. The proposed amendments to Rules 4.33 and 21.26 authorize the Executive
Floor Committee or any Senior Vice President to deny access to the Exchange’s premises if the
Committee or Senior Vice President has a reasonable basis to believe that the member’s or
clerk’s presence would be disruptive to the orderly operation of the Exchange.

The Exchange certifies that the amendments comply with the requirements of the
Commodity Exchange Act and the rules and regulations promulgated thereunder.

The amendments were adopted unanimously by the Exchange’s Board of Governors on
November 8, 2006. No substantive opposing views were expressed by members or others with
respect to the amendments. The amendments to Rule 4.02 will become effective on November
13, 2006. Amendments to Rules 4.33 and 21.26 will become effective, after Commission
approval, on a date set by the President.

If you have any questions or need further information, please contact me at 212-748-
4021.

Sincerely,

Jason V. Fusco
Compliance Counsel

ce: Riva Adriance
CFTC, Division of Market Oversight
Allen Cooper
CFTC, New York Regional Office