Form 8-R - Individual Application Template Page 17
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38TEMPLATE: DO NOT SEND TO NFA
INDIVIDUAL APPLICATION (FORM 8-R)
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
Disciplinary Information – Criminal Disclosures
For additional assistance and information on completing this page refer to the Instructions and Definition of
Terms at the beginning of this document.
Answer the following questions.
YOU MUST ANSWER “YES” TO THE QUESTIONS ON THIS PAGE EVEN IF:
• ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
• THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER
SUCCESSFUL COMPLETION OF A SENTENCE; OR
• A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED
RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A
CONVICTION; OR
• THE RECORD WAS EXPUNGED OR SEALED; OR
• A PARDON WAS GRANTED.
YOU MAY ANSWER “NO” IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH
OFFENDER LAW.
For each matter that requires a “Yes” answer to Questions A, B or C below, you must provide additional
information by filing a Criminal Disclosure Matter Page (“DMP”) for each criminal matter using NFA’s DMP
Filing system that requests:
• who was involved;
• when it occurred;
• what the allegations were;
• what the final determination was, if any; and
• the date of the determination.
You must also provide documents regarding each criminal matter requiring a “Yes” answer, that show
• the charges;
• the classification of the offense, i.e., felony or misdemeanor;
• the plea, sentencing and probation information, as applicable;
• the final disposition; and
• a summary of the circumstances surrounding the criminal matter.
You may provide these documents electronically using the upload function in the DMP Filing System or sending
them to NFA (See Instruction).
Page 17 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)
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