Form 8-R - Individual Application Template Page 12
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38TEMPLATE: DO NOT SEND TO NFA
INDIVIDUAL APPLICATION (FORM 8-R)
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
Individuals filing as principals complete this section
Principal Information
Check all that apply.
Principal Title*
SOLE PROPRIETOR
CHIEF COMPLIANCE OFFICER
GENERAL PARTNER
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
DIRECTOR
MANAGER – LLC OR LLP
PRESIDENT
MANAGING MEMBER – LLC OR LLP
CHIEF EXECUTIVE OFFICER
VESTED WITH MANAGEMENT AUTHORITY – LLC OR LLP
CHIEF OPERATING OFFICER
OWNER
CHIEF FINANCIAL OFFICER
INDIRECT OWNER
NO LISTED TITLE
10% or more interest*
Yes
No
Personal Information
Enter all required information.
Other Names
Enter any other name by which you are or have been known.
First and Middle Name_______________________________________________________________________
Last Name (Surname) and Suffix________________________________________________________________
*Required to file application
Page 12 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)
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