Form 8-R - Individual Application Template Page 25
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38TEMPLATE: DO NOT SEND TO NFA
INDIVIDUAL APPLICATION (FORM 8-R)
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
Answer the following question.
Question L.*
Have you ever been discharged or permitted to resign for cause as a result of allegations of:
• embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses,
bribery, gambling, racketeering or misappropriation of funds, securities or property; or
• failure to supervise another person in the conduct of such person’s activities as a registrant of the CFTC,
SEC, NFA, FINRA or other U.S. or non-U.S. self-regulatory organization?
Yes
No
Applicants with a “No” answer above answer this question
Even though you answered “No” to the above question, would you like to provide an Employment DMP?*
Yes
No
Applicants with a “Yes” answer above answer this question
Will you be filing an Employment DMP with respect to a new matter?*
Yes
No
*Required to file application
Page 25 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)
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