Listed below are the templates and forms that are used in NFA's registration process.
To access the templates and forms, you need Adobe Acrobat Reader.
It is the SD/MSP's obligation to determine whether or not a statutory disqualification exists for one of its APs. If a statutory disqualification exists, the SD/MSP may elect to file a Statutory Disqualification Form electronically via NFA's EasyFile system for a determination as to whether NFA would have granted the person registration as an AP despite the statutory disqualification. NFA will assume that each matter being submitted to NFA is a statutory disqualification. The SD/MSP should not submit information to NFA to determine whether or not the statutory disqualification exists. Based solely on the information that the SD/MSP electronically reports on the Statutory Disqualification Form via NFA's EasyFile system, NFA will notify the SD/MSP whether or not NFA would have granted the person registration as an AP despite the statutory disqualification.
If the SD/MSP has already determined that a statutory disqualification exist for one of its APs, it can use these templates to assist in filing the form electronically using NFA's EasyFile system. NFA will NOT accept a form submitted via fax, mail or email. Please go to NFA's EasyFile system to complete these forms electronically for NFA's review.
SDs/MSPs should NOT submit supporting documentation in connection with Criminal or Regulatory Statutory Disqualification Form. NFA will make its determination based solely on the information reported on the form.
For additional information see the CFTC No-Action Relief from Statutory Disqualification Prohibition http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/letter/12-15.pdf
If you have any questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410.
NFA Members can file many of their required documents electronically.
You can check the registration status and disciplinary history of any derivatives firm or individual.