Form 8-R - Individual Application Template (Page 29 of 38) in pdf

Form 8-R - Individual Application Template Page 29

TEMPLATE: DO NOT SEND TO NFA

INDIVIDUAL APPLICATION (FORM 8-R)

COMMODITY FUTURES TRADING COMMISSION

NATIONAL FUTURES ASSOCIATION

Proficiency Requirements

Answer the following questions.



Have you passed the Series 3 Examination within the past two years?*

Yes

Only individuals intending to use an alternative(s) to satisfy the proficiency requirements complete this

section.

Check one of the following, if applicable

If you are a registered General Securities Representative of the sponsor, and your futures activity will be limited

to any of the two following activities, check each that applies:



You limit futures activities to those activities covered in the Futures Managed Funds Examination

(Series 31): the solicitation of pool participants and/or the solicitation of discretionary accounts

managed by a CTA, or the supervision of others engaged in such solicitations.



Have you passed the Series 31 Examination within the past two years?*

Yes



You limit your futures activity as provided in NFA Registration Rule 401(b) to referring clients to

another AP

of the sponsor or to supervising others who make such referrals.



Check here if you have been registered or licensed to solicit futures business by a foreign regulatory

authority located in Canada or the United Kingdom within the past two years and are therefore eligible to

satisfy the proficiency requirements by passing the Limited Futures Examination – Regulations (Series 32).



Have you passed the Series 32 Examination within the past two years?*

Yes



Check here if your sponsor is a CPO that trades swaps subject to the jurisdiction of the CFTC in a

commodity pool that but for the trading of such swaps would be eligible for the exclusion under CFTC

Regulation 4.5(c)(2)(iii)(A) or (B) or the exemption under CFTC Regulation 4.13(a)(3) and the sponsor

has been granted or is seeking a waiver from the Series 3 for its APs pursuant to NFA Registration Rule

401(e)(2)(ii) or if your sponsor is a CTA that provides advice on behalf of the sponsor to a commodity pool

as described above.

*Required to file application

Page 29 | 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 Page 29