Form 8-R - Individual Application Template printable pdf download

TEMPLATE: DO NOT SEND TO NFA

INDIVIDUAL APPLICATION (FORM 8-R)

COMMODITY FUTURES TRADING COMMISSION

NATIONAL FUTURES ASSOCIATION

Instructions for Using the Individual Application Template

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE

APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR

THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF

REGISTRATION.

THE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN

UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH

NFA REGISTRATION RULE 210(c).

Not every section applies to every applicant. Certain sections apply depending on the registration category or

categories being applied for. The text above these sections explains who must complete the section.

DEFINED TERMS

Words that are underlined in this form are either defined terms and have the meanings contained in the

Definition of Terms section or links to the text of Commodity Exchange Act provisions, CFTC Regulations or

NFA Rules.

GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe

consequences, including denial or revocation of registration. Although this applies to all questions in the

application, it is particularly important to the questions in the Disciplinary Information Section.

Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone

else (other than a member of NFA’s Registration Investigations or Legal (“RIL”) staff) can result in severe

consequences, including denial or revocation of registration. This also applies to all questions in the form, but

is particularly important regarding the Disciplinary Information Section. If the language of a question in the

Disciplinary Information Section requires disclosure of a matter, a “Yes” answer to the question is required no

matter what other advice has been received from anyone other than NFA’s RIL staff. Additionally, the applicant

or registrant remains responsible for failures to disclose even if someone completes the form on the applicant’s or

registrant’s behalf.

Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the

application occurs after the application is filed, the new information must be promptly filed. APs and Principals

should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The

Page 1 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)

Form 8-R - Individual Application Template