| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **3** |
|-----------|--------|-------|

|  | **Futures        Industry Association (FIA) Law & Compliance        Division** |
|--|--------------------------------------------------------------------------------------|

| DATE: | 11/12/99 | FR        PAGE: | N/A | PAGES: | 6 | PDF        SIZE: | 207        KB | PDF        LINK: | cf9933c003.p |
|-------|----------|------------------|-----|--------|---|-------------------|----------------|-------------------|--------------|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **2** |
|-----------|--------|-------|

|  | **Interactive Brokers LLC** |
|--|-----------------------------|

| DATE: | 10/29/99 | FR        PAGE: | N/A | PAGES: | 2 | PDF        SIZE: | 66        KB | PDF        LINK: | cf9933c002.p |
|-------|----------|------------------|-----|--------|---|-------------------|---------------|-------------------|--------------|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **1** |
|-----------|--------|-------|

|  | **National        Futures Association (NFA)** |
|--|------------------------------------------------|

| DATE: | 10/28/99 | FR        PAGE: | N/A | PAGES: | 4 | PDF        SIZE: | 138        KB | PDF        LINK: | cf9933c001.p |
|-------|----------|------------------|-----|--------|---|-------------------|----------------|-------------------|--------------|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

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