Form 8-R - Individual Application Template (Page 37 of 38) in pdf

TEMPLATE: DO NOT SEND TO NFA

INDIVIDUAL APPLICATION (FORM 8-R)

COMMODITY FUTURES TRADING COMMISSION

NATIONAL FUTURES ASSOCIATION

Individual Agreement (cont.)

information to NFA or any agent acting on behalf of NFA;

if the applicant is applying to obtain registration as an associated person, the applicant is also applying for

registration with NFA as an Associate if the applicant’s Sponsor is or becomes a Member of NFA; and

if the applicant is granted registration as an Associate of a Member of NFA, the applicant shall become and

remain bound by all applicable NFA requirements, including without limitation all applicable NFA Bylaws,

Compliance Rules, Financial Requirements, Registration Rules, Code of Arbitration and Member Arbitration

Rules, as then and thereafter in effect, and that this agreement shall apply each time that the applicant is granted

registration as an Associate.

Floor Broker/Floor Trader Agreement

The applicant certifies that:

the answers and statements in the Form 8-R are true, complete and accurate and that in light of the

circumstances under which the applicant has given them, the answers and statements in the Form 8-R are not

misleading in any material respect.

The applicant acknowledges that:

the applicant is subject to the imposition of criminal penalties under Section 9(a) of the Commodity Exchange

Act, 7 U.S.C. 13(a) and 18 U.S.C. §1001 for any false statements or omissions made in the Form 8-R;

the applicant is responsible at all times for maintaining the information in the Form 8-R in a complete, accurate

and current manner by electronically filing updates to the information contained therein;

the business address provided on the Form 8-R may be deemed to be the address for delivery to the applicant of

any written communications from the Commission and NFA, including any notice of intent to deny, revoke or

otherwise affect the applicant’s registration; any summons, complaint, reparations claim, arbitration claim, order

or subpoena; request for information; or any other written communication unless the applicant specifies another

address for this purpose;

the applicant must keep current the business address provided on the Form 8-R while registered and for two

years after termination of registration; and

the applicant is not registered and may not act as an FB or FT until a notice has been issued that registration or a

temporary license has been granted.

The applicant authorizes that:

Page 37 | 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 37