Form 8-R - Individual Application Template Page 10
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38TEMPLATE: DO NOT SEND TO NFA
INDIVIDUAL APPLICATION (FORM 8-R)
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
Name
Enter all required information.
Enter the individual’s full legal name. Do not use nicknames or abbreviations. For example, if the individual’s
name is Charles, enter Charles, not Chuck.
First & Middle Name* _____________________Last Name* (Surname)________________________Suffix____
NFA ID#__________________________________________________________________________________
Sponsor Information and Registration Categories
Indicate sponsor and office where applicant is located and check category(ies).
Sponsor Information
Sponsor*___________________________________________________________________________________
Main/Branch Office*__________________________________________________________________________
Categories*
Associated Person
Branch Office Manager
Principal
Floor Trader Order Enterer
Applicants whose sponsor is designated as a Forex Firm answer this question.
Will your activities involve the solicitation of customers for managed accounts, pooled investment vehicles, or
individual accounts or transactions in off-exchange foreign currency transactions as described in Sections 2(c)
(2)(B) or 2(c)(2)(C) of the Act, or the supervision of persons involved in such solicitation activities?*
Yes
No
*Required to file application
Page 10 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)
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