Form 8-R - Individual Application Template Page 30

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TEMPLATE: DO NOT SEND TO NFA
INDIVIDUAL APPLICATION (FORM 8-R)
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
Proficiency Requirements (cont.)
Check here if your sponsor is a CPO that operates pools primarily engaged in securities transactions or a
CTA that provides futures trading advice solely incidental to its securities advisory services and your
sponsor has been granted or is seeking a waiver from the Series 3 for its APs pursuant to the Interpretive
Notices to NFA Registration Rule 402.
Only individuals filing as a forex associated person complete this section.
Have you passed the Series 34 Examination within the past two years?*
Yes
No
Only individuals filing as a branch office manager complete this section.
Have you passed the Series 30 Examination within the past two years?*
Yes
No
Are you eligible to be a Branch Office Manager or Designated Supervisor under FINRA rules?*
Yes
No
Paperwork Reduction Act Notice
OMB Numbers 3038-0023 and 3038-0072
You are not required to provide the information requested on a form subject to the Paperwork Reduction Act
unless the form displays a valid OMB Control Number.
The time needed to complete and file Form 7-R, Form 7-W, Form 8-R and Form 8-T may vary depending upon
individual circumstances. The estimated average times are:
Form 7-R
FCM
0.6 hours IB
0.5 hours
Form 7-W
0.1 hours
SD
1.1 hours CPO
0.5 hours
Form 8-R
1.0 hour
MSP
1.1 hours CTA
0.5 hours
Form 8-T
0.2 hours
RFED
0.6 hours FT
0.6 hours
*Required to file application
Page 30 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)

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