Home > FAQs > Registration > Disciplinary Information > Will you ever ask me for information on a matter...

Will you ever ask me for information on a matter I do not have to disclose?

Occasionally we will find out about matters that were not reported on Form 7-R or Form 8-R, and we may need information from you to see if they should have been disclosed. For example, we may require you to provide documentation indicating that no criminal charges were filed after an arrest, in which case a letter from the applicable district attorney or arresting agency or documents from a court search may be sufficient. If we cannot determine from the FBI rap sheet whether a matter was a misdemeanor or a felony, we may require you to provide documentation to make that determination. If you were charged but found "not guilty" after a trial, we may require evidence of that, too.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy