Commodity Futures Trading Commission Individual Application
This document provides instructions for completing the Individual Application (Form 8-R) for registration with the Commodity Futures Trading Commission. It includes details on compliance with regulatory disclosure requirements, advice from NFA staff, and how to update application information. Accurate and thorough responses are crucial to avoid severe consequences.
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How do I fill this out?
To fill out this form, start by carefully reading through the instructions provided. Make sure to answer all questions accurately and completely to avoid any delays or complications. If you need clarification on any section, consult with NFA staff for assistance.
How to fill out the Commodity Futures Trading Commission Individual Application?
1
Read all provided instructions carefully.
2
Ensure all questions are answered accurately and completely.
3
Consult NFA staff for any clarification needed.
4
Submit all required documentation promptly.
5
Update the application information, if any changes occur after submission.
Who needs the Commodity Futures Trading Commission Individual Application?
1
Individuals applying for registration with the Commodity Futures Trading Commission.
2
Applicants needing to disclose disciplinary matters.
3
Registrants updating their application information.
4
Legal representatives assisting with application completion.
5
Sponsors of Associated Persons and Principals needing to file updates on their behalf.
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What are the instructions for submitting this form?
Submit this form and any required additional documents to the National Futures Association (NFA). Use NFA's DMP Filing System to upload electronic copies of documents. Alternatively, documents can be emailed to registration@nfa.futures.org, faxed to (312) 559-3411, or mailed to NFA Registration Department, 320 South Canal, Suite 2400, Chicago, IL 60606-5707. Ensure all information is accurate, and retain a record of your submission for future reference. For any questions, contact NFA Information Center at (800) 621-3570 or (312) 781-1410.
What are the important dates for this form in 2024 and 2025?
April 30, 2026 - OMB Number 3038-0023 expiration date. August 31, 2026 - OMB Number 3038-0072 expiration date.
What is the purpose of this form?
The purpose of this form is to facilitate the registration process for individuals applying with the Commodity Futures Trading Commission (CFTC). It ensures that applicants provide complete and accurate information, including any necessary disclosures about disciplinary matters. This helps maintain the integrity of the registration process and compliance with regulatory requirements.
Tell me about this form and its components and fields line-by-line.
- 1. General Instructions: Guidelines to read before completing the form.
- 2. Defined Terms: Clarifications on specific terms used in the form.
- 3. Disciplinary Information Section: Details on required disclosures for criminal, regulatory, and financial matters.
- 4. Additional Documents: Instructions on providing supplementary documents for disclosure matters.
- 5. Disclosure Matter Page (DMP): Page for entering details about each disclosure matter.
What happens if I fail to submit this form?
Failure to submit this form may result in severe consequences, including denial or revocation of registration. It is crucial to provide accurate and timely information.
- Late Disclosure Fee: Imposition of fees due to delayed disclosure of required information.
- Denial of Registration: Potential denial of the registration due to incomplete or inaccurate responses.
- Revocation of Registration: Risk of revocation of registration if critical information is not disclosed.
How do I know when to use this form?
- 1. Initial Application: When first applying for registration with the CFTC.
- 2. Disclosing Disciplinary Matters: To report any disciplinary matters as required.
- 3. Updating Information: When there is a change in previously submitted application information.
- 4. Legal Representation: When a lawyer or legal representative needs to assist with the application.
- 5. Sponsor Updates: When a sponsor needs to file updates on behalf of Associated Persons or Principals.
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