Form 8-R - Individual Application Template (Page 3 of 38) in pdf

TEMPLATE: DO NOT SEND TO NFA

INDIVIDUAL APPLICATION (FORM 8-R)

COMMODITY FUTURES TRADING COMMISSION

NATIONAL FUTURES ASSOCIATION

Instructions for Using the Individual Application Template

has failed to pay an award related to a CFTC-related product or an order entered in a reparations matter.

Only adversary actions that a bankruptcy trustee files must be disclosed. Adversary actions that creditors file are

not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the

action, even if the person is not the bankrupt person.

ADDITIONAL DOCUMENTS

For each matter that caused a “Yes” answer, a Disclosure Matter Page (“DMP”), which is accessible using NFA’s

DMP Filing System, must be filed. In addition to the required DMP, other documents about the matter must

be provided to NFA. If court documents are unavailable, a letter from the court verifying that must be sent to

NFA. If documents other than court documents are unavailable, the person must provide a written explanation

for their unavailability. Electronic copies of the documents can be uploaded using NFA’s DMP Filing System

or you can send documents to NFA by emailing electronic documents to , faxing

documents to (312) 559-3411 or mailing documents to NFA Registration Department, 300 S. Riverside Plaza,

Suite 1800, Chicago IL 60606.

Like answering the questions correctly, providing all documents to NFA is important. Failure to do so will delay

the registration process and may result in a denial of the application.

DEFINITION OF TERMS

(The following terms are defined solely for the purpose of using NFA’s Online Registration System.)

10% OR MORE

INTEREST: direct or indirect ownership of 10% or more of an entity’s stock; entitlement to

vote or empowered to sell 10% or more of an entity’s voting securities; contribution of 10% or more of an entity’s

capital; or entitlement to 10% or more of an entity’s net profits.

ADJUDICATION: in a criminal case, a determination by the court that the defendant is guilty or not guilty.

ADVERSARY

ACTION: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or

bankruptcy trustee by filing a complaint with the bankruptcy court.

ALIAS: another name utilized by an individual or previously used by an entity.

CHARGE: a formal complaint, information, indictment or equivalent instrument containing an accusation of a

crime.

DBA: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps

Page 3 | 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 3