READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

Below are the templates and forms that are used in NFA's registration process. Templates represent filings that must be completed in NFA's Online Registration System (ORS) or EasyFile.

A non-natural person floor trader must electronically file its application () and the applications for its principals (Form 8-R) order enterers (floor trader order enterer Form 8-R) using ORS.

Jun 24, 2020 · The Commodity Futures Trading Commission (the "Commission" or "CFTC") is revising its Form 8-R, the application form that individuals must use to register with the Commission as an associated person of a registrant, floor broker, or floor trader, or to be listed as a principal of a registrant...

3 OMB Nos. 3038-0023 (exp. June 30, 2019) & 3038-0072 (exp. June 30, 2019) CFTC Form 8-R (Mar. 2017) Individual Application (Form 8-R) ENJOINED: subject to an injunction. ENTITY: any person other than an individual. ENTITY FLOOR TRADER: an applicant that files or registrant that filed a Form 7-R to apply for registration as a floor trader.

Form 8-R exist under current law. The titles for the existing information collections are ``Registration Under the Commodity Exchange Act,'' OMB control number 3038-0023, and ``Registration of Swap Dealers and Major Swap Participants,'' OMB control number 3038-0072. The preliminary view of the Commission is that the revisions to Form 8-R

Sep 24, 2020 · Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons.

Fingerprint Information Now Required in Form 8-R. As discussed below, the information which is included on an AP or Principal’s Fingerprint Cards (sex, race, eye color, etc) will now be part of the NFA Form 8-R. Additionally, the NFA will now make certain notifications to NFA member firms with respect to their application.

Form 8-R requests information about the applicant that is necessary to assess the applicant’s fitness to engage in business as a derivatives professional, subject to regulation and oversight by the Commission.

The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration fi les.